SEC Form 4 · accession 0001127602-18-002841
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
Jan 22, 2018
Accepted (ET)
Jan 29, 2018 · 5:38 pm EST
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 | Jan 22, 2018 | F | 3,668 | $74.75 | D | 183,476 | D | |
| Common Stock | Jan 26, 2018 | M | 11,651 | $41.37 | A | 195,127 | D | |
| Common Stock | Jan 26, 2018 | S | 200 | $77.44 | D | 194,927 | D | |
| Common Stock | Jan 26, 2018 | S | 266 | $77.11 | D | 194,661 | D | |
| Common Stock | Jan 26, 2018 | S | 200 | $77.105 | D | 194,461 | D | |
| Common Stock | Jan 26, 2018 | S | 100 | $77.09 | D | 194,361 | D | |
| Common Stock | Jan 26, 2018 | S | 600 | $77.08 | D | 193,761 | D | |
| Common Stock | Jan 26, 2018 | S | 200 | $77.07 | D | 193,561 | D | |
| Common Stock | Jan 26, 2018 | S | 100 | $77.06 | D | 193,461 | D | |
| Common Stock | Jan 26, 2018 | S | 300 | $77.05 | D | 193,161 | D | |
| Common Stock | Jan 26, 2018 | S | 100 | $77.03 | D | 193,061 | D | |
| Common Stock | Jan 26, 2018 | S | 200 | $77.02 | D | 192,861 | D | |
| Common Stock | Jan 26, 2018 | S | 100 | $77.01 | D | 192,761 | D | |
| Common Stock | Jan 26, 2018 | S | 500 | $76.99 | D | 192,261 | D | |
| Common Stock | Jan 26, 2018 | S | 300 | $76.98 | D | 191,961 | D | |
| Common Stock | Jan 26, 2018 | S | 100 | $76.97 | D | 191,861 | D | |
| Common Stock | Jan 26, 2018 | S | 1,038 | $76.96 | D | 190,823 | D | |
| Common Stock | Jan 26, 2018 | S | 300 | $76.95 | D | 190,523 | D | |
| Common Stock | Jan 26, 2018 | S | 300 | $76.94 | D | 190,223 | D | |
| Common Stock | Jan 26, 2018 | S | 100 | $76.93 | D | 190,123 | D | |
| Common Stock | Jan 26, 2018 | S | 447 | $76.92 | D | 189,676 | D | |
| Common Stock | holding | — | — | — | 1,000 | I | By Daughter - Custodial Brokerage Account | |
| Common StockF2 | holding | — | — | — | 1,939 | 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 | — | — | — | 2,139,786 | 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)F3 | $41.37 | Jan 26, 2018 | M | 11,651 | D | Jan 1, 2012 | Jan 1, 2019 | Common Stock | 11,651 | 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.
- F3Options will vest 50% on 1/1/2012, 75% on 1/1/2013, and 100% on 1/1/2014