SEC Form 4 · accession 0001127602-17-017437
UMB FINANCIAL CORP · UMBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael D Hagedorn
Officer — President of Subsidiary
Period of report
May 8, 2017
Accepted (ET)
May 9, 2017 · 6:03 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 Stock | May 8, 2017 | M | 5,757 | $41.71 | A | 65,092 | D | |
| Common Stock | May 8, 2017 | M | 209 | $39.97 | A | 65,301 | D | |
| Common Stock | May 8, 2017 | S | 100 | $74.02 | D | 65,201 | D | |
| Common Stock | May 8, 2017 | S | 100 | $74.05 | D | 65,101 | D | |
| Common Stock | May 8, 2017 | S | 100 | $74.01 | D | 65,001 | D | |
| Common Stock | May 8, 2017 | S | 100 | $74.18 | D | 64,901 | D | |
| Common Stock | May 8, 2017 | S | 100 | $74.16 | D | 64,801 | D | |
| Common Stock | May 8, 2017 | S | 100 | $74.22 | D | 64,701 | D | |
| Common Stock | May 8, 2017 | S | 100 | $74.03 | D | 64,601 | D | |
| Common Stock | May 8, 2017 | S | 1,300 | $74.00 | D | 63,301 | D | |
| Common Stock | May 8, 2017 | S | 100 | $74.04 | D | 63,201 | D | |
| Common Stock | May 8, 2017 | S | 500 | $74.06 | D | 62,701 | D | |
| Common Stock | May 8, 2017 | S | 100 | $74.07 | D | 62,601 | D | |
| Common Stock | May 8, 2017 | S | 300 | $74.08 | D | 62,301 | D | |
| Common Stock | May 8, 2017 | S | 1 | $74.13 | D | 62,300 | D | |
| Common Stock | May 8, 2017 | S | 309 | $74.09 | D | 61,991 | D | |
| Common Stock | May 8, 2017 | S | 602 | $74.10 | D | 61,389 | D | |
| Common Stock | May 8, 2017 | S | 672 | $74.11 | D | 60,717 | D | |
| Common Stock | May 8, 2017 | S | 72 | $74.15 | D | 60,645 | D | |
| Common Stock | May 8, 2017 | S | 910 | $74.12 | D | 59,735 | D | |
| Common Stock | May 8, 2017 | S | 400 | $74.115 | D | 59,335 | D | |
| Common Stock | holding | — | — | — | 260 | 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)F1 | $41.71 | May 8, 2017 | M | 5,757 | D | Jan 1, 2014 | Jan 1, 2021 | Common Stock | 5,757 | 0 | D |
| Stock Option (Right to Buy)F2 | $39.97 | May 8, 2017 | M | 209 | D | Jan 1, 2015 | Jan 1, 2022 | Common Stock | 209 | 2,267 | D |
Explanation of responses
- F1Options will vest 50% on 1/1/2014, 75% on 1/1/2015 and 100% on 1/1/2015
- F2Options will vest 50% on 1/1/2015, 75% on 1/1/2016 and 100% on 1/1/2017.