Statement of Changes in Beneficial Ownership (4)
April 28 2017 - 6:15PM
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
*
Brian J Walker
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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)
Chief Accounting Officer
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(Last)
(First)
(Middle)
1010 GRAND BLVD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/27/2017
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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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4/27/2017
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M
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893
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A
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$41.71
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8745.8626
(1)
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D
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Common Stock
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4/27/2017
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M
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1054
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A
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$39.97
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7852.8626
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D
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Common Stock
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4/27/2017
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M
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1009
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A
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$37.84
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9754.8626
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D
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Common Stock
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4/27/2017
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O
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949
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A
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$41.37
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10703.8626
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D
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Common Stock
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4/27/2017
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S
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37
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D
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$75.03
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10666.8626
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D
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Common Stock
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4/27/2017
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S
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23
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D
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$75.04
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10643.8626
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D
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Common Stock
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4/27/2017
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S
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160
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D
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$75.06
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10483.8626
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D
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Common Stock
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4/27/2017
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S
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218.46
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D
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$75.07
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10265.4026
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D
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Common Stock
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4/27/2017
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S
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139
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D
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$75.08
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10126.4026
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D
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Common Stock
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4/27/2017
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S
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194.26
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D
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$75.09
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9932.1426
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D
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Common Stock
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4/27/2017
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S
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436.26
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D
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$75.10
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9495.8826
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D
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Common Stock
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4/27/2017
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S
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201.52
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D
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$75.11
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9294.3626
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D
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Common Stock
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4/27/2017
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S
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105.6
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D
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$75.12
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9188.7626
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D
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Common Stock
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4/27/2017
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S
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71.5
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D
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$75.13
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9117.2626
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D
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Common Stock
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4/27/2017
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S
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44
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D
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$75.14
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9073.2626
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D
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Common Stock
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4/27/2017
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S
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44
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D
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$75.15
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9029.2626
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D
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Common Stock
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4/27/2017
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S
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22
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D
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$75.16
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9007.2626
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D
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Common Stock
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4/27/2017
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S
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66
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D
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$75.17
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8941.2626
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D
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Common Stock
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4/27/2017
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S
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44
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D
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$75.18
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8897.2626
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D
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Common Stock
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4/27/2017
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S
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22
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D
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$75.19
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8875.2626
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D
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Common Stock
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4/27/2017
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S
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215.6
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D
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$75.20
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8659.6626
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D
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Common Stock
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4/27/2017
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S
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22
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D
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$75.22
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8637.6626
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D
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Common Stock
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4/27/2017
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S
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44
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D
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$75.24
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8593.6626
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D
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Common Stock
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4/27/2017
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S
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22
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D
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$75.25
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8571.6626
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D
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Common Stock
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4/27/2017
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S
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22
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D
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$75.26
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8549.6626
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D
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Common Stock
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4/27/2017
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S
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12.98
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D
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$75.28
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8536.6826
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D
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Common Stock
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4/27/2017
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S
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22
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D
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$75.29
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8514.6826
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D
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Common Stock
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4/27/2017
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S
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44
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D
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$75.30
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8470.6826
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D
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Common Stock
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4/27/2017
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S
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26.4
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D
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$75.31
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8444.2826
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D
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Common Stock
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232.2528
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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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$41.71
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4/27/2017
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M
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893
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1/1/2014
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1/1/2021
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Common Stock
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893
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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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4/27/2017
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M
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1054
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1/1/2015
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1/1/2022
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Common Stock
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1054
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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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$37.84
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4/27/2017
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M
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1009
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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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1009
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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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4/27/2017
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O
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949
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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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949
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$41.37
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0
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D
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Explanation of Responses:
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(1)
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Reflects shares acquired through the reinvestment of dividends on restricted stock
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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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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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Brian J Walker
1010 GRAND BLVD
KANSAS CITY, MO 64106
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Chief Accounting Officer
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Signatures
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/s/ John C. Pauls, Attorney in Fact for Mr. Walker
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4/28/2017
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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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