SEC Form 4 · accession 0001127602-18-027530
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
Sep 12, 2018
Accepted (ET)
Sep 13, 2018 · 6:52 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 | Sep 12, 2018 | M | 2,751 | $57.40 | A | 13,796 | D | |
| Common Stock | Sep 12, 2018 | M | 2,097 | $51.42 | A | 15,893 | D | |
| Common Stock | Sep 12, 2018 | M | 2,029 | $47.68 | A | 17,922 | D | |
| Common Stock | Sep 12, 2018 | S | 200 | $73.89 | D | 17,722 | D | |
| Common Stock | Sep 12, 2018 | S | 200 | $73.915 | D | 17,522 | D | |
| Common Stock | Sep 12, 2018 | S | 197 | $73.96 | D | 17,325 | D | |
| Common Stock | Sep 12, 2018 | S | 3 | $73.97 | D | 17,322 | D | |
| Common Stock | Sep 12, 2018 | S | 200 | $73.98 | D | 17,122 | D | |
| Common Stock | Sep 12, 2018 | S | 200 | $73.995 | D | 16,922 | D | |
| Common Stock | Sep 12, 2018 | S | 300 | $74.00 | D | 16,622 | D | |
| Common Stock | Sep 12, 2018 | S | 331 | $74.01 | D | 16,291 | D | |
| Common Stock | Sep 12, 2018 | S | 100 | $74.025 | D | 16,191 | D | |
| Common Stock | Sep 12, 2018 | S | 238 | $74.03 | D | 15,953 | D | |
| Common Stock | Sep 12, 2018 | S | 100 | $74.035 | D | 15,853 | D | |
| Common Stock | Sep 12, 2018 | S | 700 | $74.04 | D | 15,153 | D | |
| Common Stock | Sep 12, 2018 | S | 100 | $74.045 | D | 15,053 | D | |
| Common Stock | Sep 12, 2018 | S | 100 | $74.05 | D | 14,953 | D | |
| Common Stock | Sep 12, 2018 | S | 150 | $74.06 | D | 14,803 | D | |
| Common Stock | Sep 12, 2018 | S | 300 | $74.07 | D | 14,503 | D | |
| Common Stock | Sep 12, 2018 | S | 200 | $74.08 | D | 14,303 | D | |
| Common Stock | Sep 12, 2018 | S | 150 | $74.09 | D | 14,153 | D | |
| Common Stock | Sep 12, 2018 | S | 708 | $74.10 | D | 13,445 | D | |
| Common Stock | Sep 12, 2018 | S | 200 | $74.11 | D | 13,245 | D | |
| Common Stock | Sep 12, 2018 | S | 300 | $74.12 | D | 12,945 | D | |
| Common Stock | Sep 12, 2018 | S | 484 | $74.13 | D | 12,461 | D | |
| Common Stock | Sep 12, 2018 | S | 111 | $74.14 | D | 12,350 | D | |
| Common Stock | Sep 12, 2018 | S | 305 | $74.15 | D | 12,045 | D | |
| Common Stock | Sep 12, 2018 | S | 300 | $74.16 | D | 11,745 | D | |
| Common Stock | Sep 12, 2018 | S | 97 | $74.18 | D | 11,648 | D | |
| Common Stock | 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)F1 | $57.40 | Sep 12, 2018 | M | 2,751 | D | Jan 1, 2017 | Jan 1, 2024 | Common Stock | 2,751 | 918 | D |
| Stock Option (Right to Buy)F2 | $51.42 | Sep 12, 2018 | M | 2,097 | D | Feb 11, 2018 | Feb 11, 2025 | Common Stock | 2,097 | 2,098 | D |
| Stock Option (Right to Buy)F3 | $47.68 | Sep 12, 2018 | M | 2,029 | D | Feb 5, 2018 | Feb 5, 2026 | Common Stock | 2,029 | 2,030 | D |
| Stock Option (Right to Buy)F4 | $41.37 | holding | — | — | — | Jan 1, 2012 | Jan 1, 2019 | Common Stock | 0 | 0 | D |
| Stock Option (Right to Buy)F5 | $37.84 | holding | — | — | — | Jan 1, 2013 | Jan 1, 2020 | Common Stock | 0 | 0 | D |
| Stock Option (Right to Buy)F6 | $41.71 | holding | — | — | — | Jan 1, 2014 | Jan 1, 2021 | Common Stock | 0 | 0 | D |
| Stock Option (Right to Buy)F7 | $39.97 | holding | — | — | — | Jan 1, 2015 | Jan 1, 2022 | Common Stock | 0 | 0 | D |
| Stock Option (Right to Buy)F8 | $45.58 | holding | — | — | — | Jan 1, 2016 | Jan 1, 2023 | Common Stock | 0 | 0 | D |
| Stock Option (Right to Buy)F9 | $75.25 | holding | — | — | — | Feb 2, 2019 | Feb 2, 2027 | Common Stock | 2,446 | 2,446 | D |
Explanation of responses
- F1Options vest 50% on 1/1/2017, 75% on 1/1/2018, and 100% on 1/1/2019.
- F2Options will vest 50% on 2/11/2018, 75% on 2/11/2019, and 75% on 2/11/2020.
- F3Options will vest 50% on 2/5/2018, 75% on 2/5/2019, and 100% on 2/5/2020.
- F4Options vested 50% on 1/1/2012, 75% on 1/1/2013, and 100% on 1/1/2014.
- F5Options vested 50% on 1/1/2013; 75% on 1/1/2014; and 100% on 1/1/2015.
- F6Options vested 50% on 1/1/2014, 75% on 1/1/2015 and 100% on 1/1/2016.
- F7Options vested 50% on 1/1/2015, 75% on 1/1/2016 and 100% on 1/1/2017.
- F8Options vested 50% on 1/1/2016, 75% on 1/1/2017 and 100% on 1/1/2018.
- F9Options will vest 50% on 2/2/19, 75% on 2/2/20, and 100% on 2/2/21.