SEC Form 4 · accession 0001127602-17-015872
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
Apr 27, 2017
Accepted (ET)
Apr 28, 2017 · 5:03 pm EDT
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 | Apr 27, 2017 | M | 16,237 | $37.73 | A | 202,610 | D | |
| Common Stock | Apr 27, 2017 | S | 248 | $75.04 | D | 202,362 | D | |
| Common Stock | Apr 27, 2017 | S | 648 | $75.06 | D | 201,714 | D | |
| Common Stock | Apr 27, 2017 | S | 775 | $75.07 | D | 200,940 | D | |
| Common Stock | Apr 27, 2017 | S | 511 | $75.08 | D | 200,429 | D | |
| Common Stock | Apr 27, 2017 | S | 689 | $75.09 | D | 199,740 | D | |
| Common Stock | Apr 27, 2017 | S | 1,547 | $75.10 | D | 198,193 | D | |
| Common Stock | Apr 27, 2017 | S | 714 | $75.11 | D | 197,479 | D | |
| Common Stock | Apr 27, 2017 | S | 374 | $75.12 | D | 197,104 | D | |
| Common Stock | Apr 27, 2017 | S | 254 | $75.13 | D | 196,851 | D | |
| Common Stock | Apr 27, 2017 | S | 156 | $75.14 | D | 196,695 | D | |
| Common Stock | Apr 27, 2017 | S | 156 | $75.15 | D | 196,539 | D | |
| Common Stock | Apr 27, 2017 | S | 78 | $75.16 | D | 196,461 | D | |
| Common Stock | Apr 27, 2017 | S | 234 | $75.17 | D | 196,227 | D | |
| Common Stock | Apr 27, 2017 | S | 156 | $75.18 | D | 196,071 | D | |
| Common Stock | Apr 27, 2017 | S | 78 | $75.19 | D | 195,993 | D | |
| Common Stock | Apr 27, 2017 | S | 764 | $75.20 | D | 195,229 | D | |
| Common Stock | Apr 27, 2017 | S | 78 | $75.22 | D | 195,151 | D | |
| Common Stock | Apr 27, 2017 | S | 156 | $75.24 | D | 194,995 | D | |
| Common Stock | Apr 27, 2017 | S | 78 | $75.25 | D | 194,917 | D | |
| Common Stock | Apr 27, 2017 | S | 78 | $75.26 | D | 194,839 | D | |
| Common Stock | Apr 27, 2017 | S | 46 | $75.28 | D | 194,793 | D | |
| Common Stock | holding | — | — | — | 1,000 | I | By Daughter - Custodial Brokerage Account | |
| Common Stock | holding | — | — | — | 1,902 | I | By Esop | |
| Common Stock | holding | — | — | — | 1,000 | I | By Son - Custodial Brokerage Account | |
| Common Stock | holding | — | — | — | 0 | I | By Trust - RC Kemper For John | |
| 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)F2 | $37.73 | Apr 27, 2017 | M | 16,237 | D | Jan 1, 2011 | Jan 1, 2018 | Common Stock | 16,237 | 9,498 | D |
Explanation of responses
- F1Includes shares acquired from dividend reinvestment
- F2Options will vest 50% on 1/1/2011; 75% on 1/1/2012; and 100% on 1/1/2013