SEC Form 4 · accession 0001127602-17-016406
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
May 1, 2017
Accepted (ET)
May 2, 2017 · 6:02 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 | May 1, 2017 | M | 15,292 | $39.97 | A | 201,665 | D | |
| Common Stock | May 1, 2017 | M | 7,856 | $37.84 | A | 209,521 | D | |
| Common Stock | May 1, 2017 | S | 100 | $73.40 | D | 209,421 | D | |
| Common Stock | May 1, 2017 | S | 100 | $72.98 | D | 209,321 | D | |
| Common Stock | May 1, 2017 | S | 100 | $72.73 | D | 209,221 | D | |
| Common Stock | May 1, 2017 | S | 100 | $72.67 | D | 209,121 | D | |
| Common Stock | May 1, 2017 | S | 100 | $72.58 | D | 209,021 | D | |
| Common Stock | May 1, 2017 | S | 100 | $73.04 | D | 208,848 | D | |
| Common Stock | May 1, 2017 | S | 73 | $72.99 | D | 208,948 | D | |
| Common Stock | May 1, 2017 | S | 100 | $72.80 | D | 208,748 | D | |
| Common Stock | May 1, 2017 | S | 100 | $72.78 | D | 208,648 | D | |
| Common Stock | May 1, 2017 | S | 110 | $72.75 | D | 208,538 | D | |
| Common Stock | May 1, 2017 | S | 90 | $72.74 | D | 208,448 | D | |
| Common Stock | May 1, 2017 | S | 100 | $72.705 | D | 208,348 | D | |
| Common Stock | May 1, 2017 | S | 100 | $72.61 | D | 208,248 | D | |
| Common Stock | May 1, 2017 | S | 100 | $72.405 | D | 208,148 | D | |
| Common Stock | May 1, 2017 | S | 100 | $72.41 | D | 208,048 | D | |
| Common Stock | May 1, 2017 | S | 72 | $72.28 | D | 207,976 | D | |
| Common Stock | May 1, 2017 | S | 81 | $72.19 | D | 207,895 | D | |
| Common Stock | May 1, 2017 | S | 228 | $72.26 | D | 207,667 | D | |
| Common Stock | May 1, 2017 | S | 100 | $72.16 | D | 207,567 | D | |
| Common Stock | May 1, 2017 | S | 71 | $72.18 | D | 207,496 | 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 | $39.97 | May 1, 2017 | M | 15,292 | D | Jan 1, 2015 | Jan 1, 2022 | Common Stock | 15,292 | 13,807 | D |
| Stock Option (Right to Buy) | $37.84 | May 1, 2017 | M | 7,856 | D | Jan 1, 2013 | Jan 1, 2020 | Common Stock | 7,856 | 0 | D |
Explanation of responses
- F1Options will vest 50% on 1/1/2015, 75% on 1/1/2016 and 100% on 1/1/2017.