SEC Form 4 · accession 0001127602-17-003419
UMB FINANCIAL CORP · UMBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew J Iseman
Officer — CEO of Subsidiary
Period of report
Feb 1, 2017
Accepted (ET)
Feb 1, 2017 · 7:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000101382
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 1, 2017 | M | 1,667 | $45.07 | A | 6,797 | D | |
| Common Stock | Feb 1, 2017 | D | 1,126 | $77.9391 | D | 5,671 | D | |
| Common Stock | Feb 1, 2017 | D | 100 | $77.9493 | D | 5,571 | D | |
| Common StockF2 | holding | — | — | — | 111 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $45.07 | Feb 1, 2017 | M | 1,667 | D | Jan 1, 2015 | Jan 1, 2022 | Common Stock | 1,667 | 0 | D |
Explanation of responses
- F1Reflects shares acquired through the reinvestment of dividends on restricted stock
- F2Reflects ESOP allocations and dispositions that have occurred since the date of the reporting person's last ownership report
- F3Options will vest 50% on 1/1/2012, 75% on 1/1/2013, and 100% on 1/1/2014