SEC Form 4 · accession 0001127602-18-025826
UMB FINANCIAL CORP · UMBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dana H Abraham
Officer — Executive Vice President
Period of report
Aug 17, 2018
Accepted (ET)
Aug 20, 2018 · 6:28 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 17, 2018 | M | 2,609 | $41.37 | A | 13,654 | D | |
| Common Stock | Aug 17, 2018 | M | 3,155 | $37.84 | A | 16,809 | D | |
| Common Stock | Aug 17, 2018 | M | 2,751 | $41.71 | A | 19,560 | D | |
| Common Stock | Aug 17, 2018 | M | 3,169 | $39.97 | A | 22,729 | D | |
| Common Stock | Aug 17, 2018 | M | 2,776 | $45.58 | A | 25,505 | D | |
| Common Stock | Aug 17, 2018 | S | 200 | $75.7175 | D | 25,305 | D | |
| Common Stock | Aug 17, 2018 | S | 600 | $75.73 | D | 24,705 | D | |
| Common Stock | Aug 17, 2018 | S | 400 | $75.735 | D | 24,305 | D | |
| Common Stock | Aug 17, 2018 | S | 395 | $75.74 | D | 23,910 | D | |
| Common Stock | Aug 17, 2018 | S | 400 | $75.745 | D | 23,510 | D | |
| Common Stock | Aug 17, 2018 | S | 900 | $75.75 | D | 22,610 | D | |
| Common Stock | Aug 17, 2018 | S | 500 | $75.76 | D | 22,110 | D | |
| Common Stock | Aug 17, 2018 | S | 800 | $75.77 | D | 21,310 | D | |
| Common Stock | Aug 17, 2018 | S | 600 | $75.78 | D | 20,710 | D | |
| Common Stock | Aug 17, 2018 | S | 700 | $75.79 | D | 20,010 | D | |
| Common Stock | Aug 17, 2018 | S | 705 | $75.81 | D | 19,305 | D | |
| Common Stock | Aug 17, 2018 | S | 700 | $75.82 | D | 18,605 | D | |
| Common Stock | Aug 17, 2018 | S | 400 | $75.83 | D | 18,205 | D | |
| Common Stock | Aug 17, 2018 | S | 200 | $75.84 | D | 18,005 | D | |
| Common Stock | Aug 17, 2018 | S | 100 | $75.85 | D | 17,905 | D | |
| Common Stock | Aug 17, 2018 | S | 310 | $75.88 | D | 17,595 | D | |
| Common Stock | Aug 17, 2018 | S | 200 | $75.89 | D | 17,395 | D | |
| Common Stock | Aug 17, 2018 | S | 100 | $75.93 | D | 17,295 | D | |
| Common Stock | Aug 17, 2018 | S | 100 | $75.94 | D | 17,195 | D | |
| Common Stock | Aug 17, 2018 | S | 200 | $76.00 | D | 16,995 | D | |
| Common Stock | Aug 17, 2018 | S | 954 | $76.02 | D | 16,041 | D | |
| Common Stock | Aug 17, 2018 | S | 200 | $76.03 | D | 15,841 | D | |
| Common Stock | Aug 17, 2018 | S | 300 | $76.04 | D | 15,541 | D | |
| Common Stock | Aug 17, 2018 | S | 300 | $76.05 | D | 15,241 | D | |
| Common StockF2 | holding | — | — | — | 289 | 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)F3 | $41.37 | Aug 17, 2018 | M | 2,609 | D | Jan 1, 2012 | Jan 1, 2019 | Common Stock | 2,609 | 0 | D |
| Stock Option (Right to Buy)F4 | $37.84 | Aug 17, 2018 | M | 3,155 | D | Jan 1, 2013 | Jan 1, 2020 | Common Stock | 3,155 | 0 | D |
| Stock Option (Right to Buy)F5 | $41.71 | Aug 17, 2018 | M | 2,751 | D | Jan 1, 2014 | Jan 1, 2021 | Common Stock | 2,751 | 0 | D |
| Stock Option (Right to Buy)F6 | $39.97 | Aug 17, 2018 | M | 3,169 | D | Jan 1, 2015 | Jan 1, 2022 | Common Stock | 3,169 | 0 | D |
| Stock Option (Right to Buy)F7 | $45.58 | Aug 17, 2018 | M | 2,776 | D | Jan 1, 2016 | Jan 1, 2023 | Common Stock | 2,776 | 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 vested 50% on 1/1/2012, 75% on 1/1/2013, and 100% on 1/1/2014.
- F4Options vested 50% on 1/1/2013; 75% on 1/1/2014; and 100% on 1/1/2015.
- F5Options vested 50% on 1/1/2014, 75% on 1/1/2015 and 100% on 1/1/2016.
- F6Options vested 50% on 1/1/2015, 75% on 1/1/2016 and 100% on 1/1/2017.
- F7Options vested 50% on 1/1/2016, 75% on 1/1/2017 and 100% on 1/1/2018.