SEC Form 4 · accession 0001127602-17-016156
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 28, 2017
Accepted (ET)
May 1, 2017 · 6:15 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 Stock | Apr 28, 2017 | M | 9,498 | $37.73 | A | 195,871 | D | |
| Common Stock | Apr 28, 2017 | M | 15,281 | $37.84 | A | 211,152 | D | |
| Common Stock | Apr 28, 2017 | S | 200 | $75.21 | D | 210,952 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.69 | D | 210,852 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $75.195 | D | 210,752 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $75.24 | D | 210,652 | D | |
| Common Stock | Apr 28, 2017 | S | 200 | $75.18 | D | 210,452 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $75.00 | D | 210,352 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.815 | D | 210,252 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.98 | D | 210,152 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $75.07 | D | 210,052 | D | |
| Common Stock | Apr 28, 2017 | S | 200 | $74.97 | D | 209,852 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.73 | D | 209,752 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.76 | D | 209,652 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.71 | D | 209,552 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.67 | D | 209,452 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.36 | D | 209,352 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.35 | D | 209,252 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.21 | D | 209,152 | D | |
| Common Stock | Apr 28, 2017 | S | 200 | $74.43 | D | 208,952 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.40 | D | 208,852 | D | |
| Common Stock | Apr 28, 2017 | S | 100 | $74.26 | D | 208,752 | 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)F1 | $37.73 | Apr 28, 2017 | M | 9,498 | D | Jan 1, 2011 | Jan 1, 2018 | Common Stock | 9,498 | 0 | D |
| Stock Option (Right to Buy) | $37.84 | Apr 28, 2017 | M | 15,281 | D | Jan 1, 2013 | Jan 1, 2020 | Common Stock | 15,281 | 7,856 | D |
Explanation of responses
- F1Options will vest 50% on 1/1/2011; 75% on 1/1/2012; and 100% on 1/1/2013