Statement of Changes in Beneficial Ownership (4)
March 12 2021 - 4:50PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Terry Thomas S |
2. Issuer Name and Ticker or Trading Symbol
UMB FINANCIAL CORP
[
UMBF
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Credit Officer |
(Last)
(First)
(Middle)
1010 GRAND BLVD. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/12/2021 |
(Street)
KANSAS CITY, MO 64106
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/12/2021 | | M | | 1784 | A | $57.40 | 32262.9959 | D | |
Common Stock | 3/12/2021 | | M | | 3661 | A | $51.42 | 35923.9959 | D | |
Common Stock | 3/12/2021 | | M | | 2097 | A | $75.25 | 38020.9959 | D | |
Common Stock | 3/12/2021 | | M | | 3244 | A | $47.68 | 41264.9959 | D | |
Common Stock | 3/12/2021 | | S | | 100 | D | $96.36 | 41164.9959 | D | |
Common Stock | 3/12/2021 | | S | | 100 | D | $96.39 | 41064.9959 | D | |
Common Stock | 3/12/2021 | | S | | 100 | D | $96.41 | 40964.9959 | D | |
Common Stock | 3/12/2021 | | S | | 100 | D | $96.42 | 40864.9959 | D | |
Common Stock | 3/12/2021 | | S | | 68 | D | $96.43 | 40796.9959 | D | |
Common Stock | 3/12/2021 | | S | | 201 | D | $96.44 | 40595.9959 | D | |
Common Stock | 3/12/2021 | | S | | 32 | D | $96.45 | 40563.9959 | D | |
Common Stock | 3/12/2021 | | S | | 20 | D | $96.46 | 40543.9959 | D | |
Common Stock | 3/12/2021 | | S | | 129 | D | $96.47 | 40414.9959 | D | |
Common Stock | 3/12/2021 | | S | | 401 | D | $96.48 | 40013.9959 | D | |
Common Stock | 3/12/2021 | | S | | 303 | D | $96.49 | 39710.9959 | D | |
Common Stock | 3/12/2021 | | S | | 793 | D | $96.50 | 38917.9959 | D | |
Common Stock | 3/12/2021 | | S | | 1 | D | $96.505 | 38916.9959 | D | |
Common Stock | 3/12/2021 | | S | | 205 | D | $96.51 | 38711.9959 | D | |
Common Stock | 3/12/2021 | | S | | 2 | D | $96.52 | 38709.9959 | D | |
Common Stock | 3/12/2021 | | S | | 200 | D | $96.53 | 38509.9959 | D | |
Common Stock | 3/12/2021 | | S | | 199 | D | $96.54 | 38310.9959 | D | |
Common Stock | 3/12/2021 | | S | | 101 | D | $96.55 | 38209.9959 | D | |
Common Stock | 3/12/2021 | | S | | 800 | D | $96.56 | 37409.9959 | D | |
Common Stock | 3/12/2021 | | S | | 101 | D | $96.57 | 37308.9959 | D | |
Common Stock | 3/12/2021 | | S | | 100 | D | $96.575 | 37208.9959 | D | |
Common Stock | 3/12/2021 | | S | | 500 | D | $96.58 | 36708.9959 | D | |
Common Stock | 3/12/2021 | | S | | 200 | D | $96.59 | 36508.9959 | D | |
Common Stock | 3/12/2021 | | S | | 406 | D | $96.60 | 36102.9959 | D | |
Common Stock | 3/12/2021 | | S | | 196 | D | $96.61 | 35906.9959 | D | |
Common Stock | | | | | | | | 4615.0757 | I | By ESOP |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $57.40 | 3/12/2021 | | M | | | 1784 | 1/1/2017 (1) | 1/1/2024 | Common Stock | 1784 | $0 | 0 | D | |
Stock Option (Right to Buy) | $51.42 | 3/12/2021 | | M | | | 3661 | 2/11/2018 (2) | 2/11/2025 | Common Stock | 3661 | $0 | 0 | D | |
Stock Option (Right to Buy) | $75.25 | 3/12/2021 | | M | | | 2097 | 2/2/2019 (3) | 2/2/2027 | Common Stock | 2097 | $0 | 0 | D | |
Stock Option (Right to Buy) | $47.68 | 3/12/2021 | | M | | | 3244 | 2/5/2018 (4) | 2/5/2026 | Common Stock | 3244 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Options vest 50% on 1/1/2017, 75% on 1/1/2018, and 100% on 1/1/2019 |
(2) | Options will vest 50% on 2/11/2018, 75% on 2/11/2019, and 75% on 2/11/2020 |
(3) | Options will vest 50% on 2/2/19, 75% on 2/2/20 and 100% on 2/2/21. |
(4) | Options will vest 50% on 2/5/2018, 75% on 2/5/2019, and 100% on 2/5/2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Terry Thomas S 1010 GRAND BLVD. KANSAS CITY, MO 64106 |
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| Chief Credit Officer |
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Signatures
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/s/ Megan L. Mercer, Attorney-in-Fact for Mr. Terry | | 3/12/2021 |
**Signature of Reporting Person | Date |
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