Statement of Changes in Beneficial Ownership (4)
May 27 2016 - 5:11PM
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).
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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
*
Hagedorn Michael D
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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)
President of Subsidiary
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(Last)
(First)
(Middle)
1010 GRAND BLVD.
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/25/2016
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(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
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5/25/2016
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M
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9128
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A
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$37.84
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68631.7538
(1)
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D
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Common Stock
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5/25/2016
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M
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4295
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A
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$41.37
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59503.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$56.835
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75756.7538
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D
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Common Stock
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5/25/2016
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S
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200
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D
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$56.01
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75856.7538
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D
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Common Stock
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5/25/2016
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M
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7425
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A
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$39.97
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76056.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$56.92
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75656.7538
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D
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Common Stock
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5/25/2016
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S
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25
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D
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$57.17
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75631.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$57.185
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75531.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$57.24
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75431.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$57.30
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75331.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$57.36
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75231.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$57.37
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75131.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$57.39
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75031.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$57.41
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74931.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$57.43
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74831.7538
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D
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Common Stock
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5/25/2016
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S
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290
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D
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$57.45
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74541.7538
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D
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Common Stock
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5/25/2016
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S
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978
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D
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$57.46
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73563.7538
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D
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Common Stock
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5/25/2016
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S
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290
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D
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$57.47
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73273.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$57.475
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73173.7538
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D
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Common Stock
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5/25/2016
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S
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400
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D
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$57.48
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72773.7538
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D
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Common Stock
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5/25/2016
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S
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200
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D
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$57.485
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72573.7538
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D
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Common Stock
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5/25/2016
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S
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200
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D
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$57.49
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72373.7538
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D
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Common Stock
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5/25/2016
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S
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502
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D
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$57.50
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71871.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$57.505
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71771.7538
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D
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Common Stock
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5/25/2016
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S
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708
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D
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$57.51
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71063.7538
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D
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Common Stock
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5/25/2016
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S
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700
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D
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$57.52
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70363.7538
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D
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Common Stock
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5/25/2016
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S
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200
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D
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$57.525
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70163.7538
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D
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Common Stock
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5/25/2016
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S
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1580
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D
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$57.53
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68583.7538
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D
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Common Stock
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5/25/2016
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S
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100
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D
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$57.535
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68483.7538
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D
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Common Stock
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239.9539
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I
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By ESOP
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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$37.84
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5/25/2016
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M
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9128
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1/1/2013
(2)
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1/1/2020
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Common Stock
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9128
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$0
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0
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D
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Stock Option (Right to Buy)
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$41.37
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5/25/2016
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M
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4295
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1/1/2012
(3)
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1/1/2019
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Common Stock
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4295
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$0
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0
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D
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Stock Option (Right to Buy)
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$39.97
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5/25/2016
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M
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7425
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1/1/2015
(4)
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1/1/2022
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Common Stock
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7425
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$0
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2476
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D
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Explanation of Responses:
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(
1)
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Includes shares acquired from dividend reinvestment
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(
2)
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Options will vest 50% on 1/1/2013; 75% on 1/1/2014; and 100% on 1/1/2015
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(
3)
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Options will vest 50% on 1/1/2012, 75% on 1/1/2013, and 100% on 1/1/2014
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(
4)
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Options will vest 50% on 1/1/2015, 75% on 1/1/2016 and 100% on 1/1/2017.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Hagedorn Michael D
1010 GRAND BLVD.
KANSAS CITY, MO 64106
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President of Subsidiary
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Signatures
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John Pauls, Attorney-in-fact for Mr. Hagedorn
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5/27/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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