SEC Form 4 · accession 0001127602-17-016688
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 2, 2017
Accepted (ET)
May 3, 2017 · 6:54 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 2, 2017 | M | 13,807 | $39.97 | A | 210,680 | D | |
| Common Stock | May 2, 2017 | M | 10,500 | $41.37 | A | 196,873 | D | |
| Common Stock | May 2, 2017 | S | 200 | $73.51 | D | 210,480 | D | |
| Common Stock | May 2, 2017 | S | 100 | $73.3925 | D | 210,380 | D | |
| Common Stock | May 2, 2017 | S | 100 | $73.325 | D | 210,280 | D | |
| Common Stock | May 2, 2017 | S | 100 | $73.26 | D | 210,180 | D | |
| Common Stock | May 2, 2017 | S | 100 | $73.35 | D | 210,080 | D | |
| Common Stock | May 2, 2017 | S | 100 | $73.36 | D | 209,980 | D | |
| Common Stock | May 2, 2017 | S | 100 | $73.18 | D | 209,880 | D | |
| Common Stock | May 2, 2017 | S | 100 | $72.895 | D | 209,780 | D | |
| Common Stock | May 2, 2017 | S | 100 | $72.89 | D | 209,680 | D | |
| Common Stock | May 2, 2017 | S | 100 | $72.92 | D | 209,580 | D | |
| Common Stock | May 2, 2017 | S | 100 | $72.83 | D | 209,480 | D | |
| Common Stock | May 2, 2017 | S | 100 | $73.16 | D | 209,380 | D | |
| Common Stock | May 2, 2017 | S | 200 | $73.17 | D | 209,180 | D | |
| Common Stock | May 2, 2017 | S | 66 | $73.23 | D | 209,114 | D | |
| Common Stock | May 2, 2017 | S | 100 | $73.21 | D | 209,014 | D | |
| Common Stock | May 2, 2017 | S | 200 | $73.00 | D | 208,814 | D | |
| Common Stock | May 2, 2017 | S | 100 | $72.79 | D | 208,714 | D | |
| Common Stock | May 2, 2017 | S | 100 | $72.91 | D | 208,614 | D | |
| Common Stock | May 2, 2017 | S | 300 | $72.87 | D | 208,314 | D | |
| Common Stock | May 2, 2017 | S | 100 | $73.04 | D | 208,214 | 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 | — | — | — | 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 2, 2017 | M | 13,807 | D | Jan 1, 2015 | Jan 1, 2022 | Common Stock | 13,807 | 0 | D |
| Stock Option (Right to Buy)F2 | $41.37 | May 2, 2017 | M | 10,500 | D | Jan 1, 2012 | Jan 1, 2019 | Common Stock | 10,500 | 11,651 | D |
Explanation of responses
- F1Options will vest 50% on 1/1/2015, 75% on 1/1/2016 and 100% on 1/1/2017.
- F2Options will vest 50% on 1/1/2012, 75% on 1/1/2013, and 100% on 1/1/2014