SEC Form 4 · accession 0001127602-17-015893
UMB FINANCIAL CORP · UMBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Walker Brian
Officer — Chief Accounting Officer
Period of report
Apr 27, 2017
Accepted (ET)
Apr 28, 2017 · 6:14 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 | 893 | $41.71 | A | 8,746 | D | |
| Common Stock | Apr 27, 2017 | M | 1,054 | $39.97 | A | 7,853 | D | |
| Common Stock | Apr 27, 2017 | M | 1,009 | $37.84 | A | 9,755 | D | |
| Common Stock | Apr 27, 2017 | O | 949 | $41.37 | A | 10,704 | D | |
| Common Stock | Apr 27, 2017 | S | 37 | $75.03 | D | 10,667 | D | |
| Common Stock | Apr 27, 2017 | S | 23 | $75.04 | D | 10,644 | D | |
| Common Stock | Apr 27, 2017 | S | 160 | $75.06 | D | 10,484 | D | |
| Common Stock | Apr 27, 2017 | S | 218 | $75.07 | D | 10,265 | D | |
| Common Stock | Apr 27, 2017 | S | 139 | $75.08 | D | 10,126 | D | |
| Common Stock | Apr 27, 2017 | S | 194 | $75.09 | D | 9,932 | D | |
| Common Stock | Apr 27, 2017 | S | 436 | $75.10 | D | 9,496 | D | |
| Common Stock | Apr 27, 2017 | S | 202 | $75.11 | D | 9,294 | D | |
| Common Stock | Apr 27, 2017 | S | 106 | $75.12 | D | 9,189 | D | |
| Common Stock | Apr 27, 2017 | S | 72 | $75.13 | D | 9,117 | D | |
| Common Stock | Apr 27, 2017 | S | 44 | $75.14 | D | 9,073 | D | |
| Common Stock | Apr 27, 2017 | S | 44 | $75.15 | D | 9,029 | D | |
| Common Stock | Apr 27, 2017 | S | 22 | $75.16 | D | 9,007 | D | |
| Common Stock | Apr 27, 2017 | S | 66 | $75.17 | D | 8,941 | D | |
| Common Stock | Apr 27, 2017 | S | 44 | $75.18 | D | 8,897 | D | |
| Common Stock | Apr 27, 2017 | S | 22 | $75.19 | D | 8,875 | D | |
| Common Stock | Apr 27, 2017 | S | 216 | $75.20 | D | 8,660 | D | |
| Common Stock | Apr 27, 2017 | S | 22 | $75.22 | D | 8,638 | D | |
| Common Stock | Apr 27, 2017 | S | 44 | $75.24 | D | 8,594 | D | |
| Common Stock | Apr 27, 2017 | S | 22 | $75.25 | D | 8,572 | D | |
| Common Stock | Apr 27, 2017 | S | 22 | $75.26 | D | 8,550 | D | |
| Common Stock | Apr 27, 2017 | S | 13 | $75.28 | D | 8,537 | D | |
| Common Stock | Apr 27, 2017 | S | 22 | $75.29 | D | 8,515 | D | |
| Common Stock | Apr 27, 2017 | S | 44 | $75.30 | D | 8,471 | D | |
| Common Stock | Apr 27, 2017 | S | 26 | $75.31 | D | 8,444 | D | |
| Common Stock | holding | — | — | — | 232 | 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) | $41.71 | Apr 27, 2017 | M | 893 | D | Jan 1, 2014 | Jan 1, 2021 | Common Stock | 893 | 0 | D |
| Stock Option (Right to Buy) | $39.97 | Apr 27, 2017 | M | 1,054 | D | Jan 1, 2015 | Jan 1, 2022 | Common Stock | 1,054 | 0 | D |
| Stock Option (Right to Buy)F2 | $37.84 | Apr 27, 2017 | M | 1,009 | D | Jan 1, 2013 | Jan 1, 2020 | Common Stock | 1,009 | 0 | D |
| Stock Option (Right to Buy)F3 | $41.37 | Apr 27, 2017 | O | 949 | D | Jan 1, 2012 | Jan 1, 2019 | Common Stock | 949 | 0 | D |
Explanation of responses
- F1Reflects shares acquired through the reinvestment of dividends on restricted stock
- F2Options will vest 50% on 1/1/2013; 75% on 1/1/2014; and 100% on 1/1/2015
- F3Options will vest 50% on 1/1/2012, 75% on 1/1/2013, and 100% on 1/1/2014