Statement of Changes in Beneficial Ownership (4)
18 May 2021 - 8:11AM
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
*
KEMPER J MARINER |
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)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman and CEO |
(Last)
(First)
(Middle)
1010 GRAND BLVD. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/13/2021 |
(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 | 5/13/2021 | | S | | 200 | D | $98.16 | 202760.1153 | D | |
Common Stock | 5/13/2021 | | S | | 300 | D | $98.15 | 202460.1153 | D | |
Common Stock | 5/13/2021 | | S | | 400 | D | $98.14 | 202060.1153 | D | |
Common Stock | 5/13/2021 | | S | | 562 | D | $98.13 | 201498.1153 | D | |
Common Stock | 5/13/2021 | | S | | 13 | D | $98.10 | 201485.1153 | D | |
Common Stock | 5/13/2021 | | S | | 100 | D | $98.09 | 201385.1153 | D | |
Common Stock | 5/13/2021 | | S | | 600 | D | $98.07 | 200785.1153 | D | |
Common Stock | 5/13/2021 | | S | | 400 | D | $98.06 | 200385.1153 | D | |
Common Stock | 5/13/2021 | | S | | 383 | D | $98.05 | 200002.1153 | D | |
Common Stock | 5/13/2021 | | S | | 217 | D | $98.04 | 199785.1153 | D | |
Common Stock | 5/13/2021 | | S | | 200 | D | $98.03 | 199585.1153 | D | |
Common Stock | 5/13/2021 | | S | | 500 | D | $98.02 | 199085.1153 | D | |
Common Stock | 5/13/2021 | | S | | 418 | D | $98.01 | 198667.1153 | D | |
Common Stock | 5/13/2021 | | S | | 100 | D | $98.00 | 198567.1153 | D | |
Common Stock | 5/14/2021 | | S | | 500 | D | $98.01 | 198067.1153 | D | |
Common Stock | 5/14/2021 | | S | | 94 | D | $98.08 | 197973.1153 | D | |
Common Stock | 5/14/2021 | | S | | 200 | D | $98.135 | 197773.1153 | D | |
Common Stock | 5/14/2021 | | S | | 103 | D | $98.15 | 197670.1153 | D | |
Common Stock | 5/14/2021 | | S | | 3 | D | $98.16 | 197667.1153 | D | |
Common Stock | 5/14/2021 | | S | | 164 | D | $98.17 | 197503.1153 | D | |
Common Stock | 5/14/2021 | | S | | 200 | D | $98.1775 | 197303.1153 | D | |
Common Stock | 5/14/2021 | | S | | 202 | D | $98.18 | 197101.1153 | D | |
Common Stock | | | | | | | | 1000 | I | By Daughter - Custodial Brokerage Account |
Common Stock | | | | | | | | 2103.133 | I | By Esop |
Common Stock | | | | | | | | 1000 | I | By Son - Custodial Brokerage Account |
Common Stock | | | | | | | | 53800 | I | By Trust - TUW RC Kemper For John Mariner |
Common Stock | | | | | | | | 12558 | I | By Trust: Mary S Hunt Trust |
Common Stock | | | | | | | | 290397 | I | Held by Kemper Realty |
Common Stock | | | | | | | | 395989 | I | Held by Pioneer Service Corporation |
Common Stock | | | | | | | | 2023836 | I | By Trust - RC Kemper Irrevocable Trust |
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 |
Explanation of Responses: |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KEMPER J MARINER 1010 GRAND BLVD. KANSAS CITY, MO 64106 | X |
| Chairman and CEO |
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Signatures
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/s/ John C. Pauls, Attorney-in-fact for Mr. Kemper | | 5/17/2021 |
**Signature of Reporting Person | Date |
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