SEC Form 4 · accession 0001127602-17-004169
UMB FINANCIAL CORP · UMBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Mariner Kemper
Officer — Chairman and CEO · Director
Period of report
Oct 19, 2016
Accepted (ET)
Feb 6, 2017 · 7:23 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 | Oct 19, 2016 | G | 1,000 | $0.00 | D | 167,584 | D | |
| Common Stock | Oct 19, 2016 | G | 1,000 | $0.00 | A | 1,000 | I | By Son - Custodial Brokerage Account |
| Common Stock | Oct 19, 2016 | G | 1,000 | $0.00 | D | 166,584 | D | |
| Common Stock | Oct 19, 2016 | G | 1,000 | $0.00 | A | 1,000 | I | By Daughter - Custodial Brokerage Account |
| Common Stock | Feb 2, 2017 | A | 19,933 | $0.00 | A | 187,842 | D | |
| Common StockF3 | holding | — | — | — | 1,902 | I | By Esop | |
| Common Stock | holding | — | — | — | 60,800 | I | By Trust - TUW RC Kemper For John Mariner | |
| Common Stock | holding | — | — | — | 290,397 | I | Held by Kemper Realty | |
| Common Stock | holding | — | — | — | 395,989 | I | Held by Pioneer Service Corporation | |
| Common Stock | holding | — | — | — | 2,161,386 | I | By Trust - RC Kemper Irrevocable Trust |
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)F4 | $75.25 | Feb 2, 2017 | A | 27,964 | A | Feb 2, 2019 | Feb 2, 2027 | Common Stock | 27,964 | 27,964 | D |
Explanation of responses
- F1This transaction involved a gift of securities by the reporting person to a custodial brokerage account in the name of his son, who shares the reporting person's household. The reporting person disclaims ownership of the shares held by his son in this account, and this report should not be deemed an admission that the reporting person is the beneficial owner of his son's shares for purposes of Section 16 or for any other purpose.
- F2This transaction involved a gift of securities by the reporting person to a custodial brokerage account in the name of his daughter, who shares the reporting person's household. The reporting person disclaims ownership of the shares held by his daughter in this account, and this report should not be deemed an admission that the reporting person is the beneficial owner of his daughter's shares for purposes of Section 16 or for any other purpose.
- F3Reflects ESOP allocations and dispositions that have occurred since the date of the reporting person's last ownership report
- F4Options will vest 50% on 2/2/2019, 75% on 2/2/2020, and 100% on 2/2/2021.