SEC Form 4 · accession 0001127602-17-025636
UMB FINANCIAL CORP · UMBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Pauls
Officer — EVP & General Counsel
Period of report
Aug 14, 2017
Accepted (ET)
Aug 15, 2017 · 4:03 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 StockF1 | Aug 14, 2017 | M | 1,100 | $38.54 | A | 5,170 | D | |
| Common Stock | Aug 14, 2017 | F | 615 | $68.985 | D | 4,555 | D | |
| Common StockF2 | holding | — | — | — | 741 | 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) | $38.54 | Aug 14, 2017 | M | 1,100 | D | Nov 20, 2010 | Dec 20, 2017 | Common Stock | 1,100 | 0 | D |
Explanation of responses
- F1Reflects shares acquired through the reinvestment of dividends on restricted stock.
- F2Reflects ESOP allocations and dispositions that have occurred since the date of the reporting person's last ownership report.