Statement of Changes in Beneficial Ownership (4)
March 04 2021 - 6:24PM
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
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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)
3/3/2021 |
(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 | 3/3/2021 | | M | | 2521 | A | $39.97 | 31338.9959 | D | |
Common Stock | 3/3/2021 | | M | | 2217 | A | $45.58 | 33555.9959 | D | |
Common Stock | 3/3/2021 | | S | | 218 | D | $89.38 | 33337.9959 | D | |
Common Stock | 3/3/2021 | | S | | 199 | D | $89.39 | 33138.9959 | D | |
Common Stock | 3/3/2021 | | S | | 103 | D | $89.42 | 33035.9959 | D | |
Common Stock | 3/3/2021 | | S | | 100 | D | $89.43 | 32935.9959 | D | |
Common Stock | 3/3/2021 | | S | | 703 | D | $89.44 | 32232.9959 | D | |
Common Stock | 3/3/2021 | | S | | 600 | D | $89.45 | 31632.9959 | D | |
Common Stock | 3/3/2021 | | S | | 223 | D | $89.51 | 31409.9959 | D | |
Common Stock | 3/3/2021 | | S | | 200 | D | $89.52 | 31209.9959 | D | |
Common Stock | 3/3/2021 | | S | | 289 | D | $89.53 | 30920.9959 | D | |
Common Stock | 3/3/2021 | | S | | 360 | D | $89.54 | 30560.9959 | D | |
Common Stock | 3/3/2021 | | S | | 70 | D | $89.55 | 30490.9959 | D | |
Common Stock | 3/3/2021 | | S | | 12 | D | $89.56 | 30478.9959 | 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) | $39.97 | 3/3/2021 | | M | | | 2521 | 1/1/2015 (1) | 1/1/2022 | Common Stock | 2521 | $0 | 0 | D | |
Stock Option (Right to Buy) | $45.58 | 3/3/2021 | | M | | | 2217 | 1/1/2016 (2) | 1/1/2023 | Common Stock | 2217 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Options will vest 50% on 1/1/2015, 75% on 1/1/2016 and 100% on 1/1/2017. |
(2) | The option vests 50% on 1/1/16; 75% on 1/1/17 and 100% on 1/1/18 |
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 | | 3/4/2021 |
**Signature of Reporting Person | Date |
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