SEC Form 4 · accession 0001127602-17-004046
UMB FINANCIAL CORP · UMBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Pauls
Officer — EVP & General Counsel
Period of report
Aug 16, 2016
Accepted (ET)
Feb 6, 2017 · 3:08 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 Stock | Aug 16, 2016 | G | 100 | $0.00 | D | 2,933 | D | |
| Common StockF1 | Feb 2, 2017 | A | 1,245 | $0.00 | A | 4,186 | D | |
| Common StockF2 | holding | — | — | — | 727 | 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 | $75.25 | Feb 2, 2017 | A | 1,747 | A | Feb 2, 2019 | Feb 2, 2027 | Common Stock | 1,747 | 1,747 | 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 vest 50% on 2/2/2019, 75% on 2/2/20, and 100% on 2/2/21.