SEC Form 4 · accession 0001127602-18-033284
UMB FINANCIAL CORP · UMBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shannon Andresen Johnson
Officer — EVP/Chief HR Officer
Period of report
Nov 15, 2018
Accepted (ET)
Nov 16, 2018 · 11:22 am 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 Stock | Nov 15, 2018 | M | 700 | $40.93 | A | 10,135 | D | |
| Common Stock | Nov 15, 2018 | M | 287 | $41.37 | A | 10,422 | D | |
| Common Stock | Nov 15, 2018 | S | 470 | $65.337 | D | 9,952 | D | |
| Common Stock | holding | — | — | — | 223 | 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) | $40.93 | Nov 15, 2018 | M | 700 | D | Oct 17, 2011 | Nov 17, 2018 | Common Stock | 700 | 0 | D |
| Stock Option (Right to Buy) | $41.37 | Nov 15, 2018 | M | 287 | D | Jan 1, 2012 | Jan 1, 2019 | Common Stock | 287 | 0 | D |