Initial Statement of Beneficial Ownership (3)
February 06 2020 - 5:15PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Odgers David Carl |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/28/2020
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3. Issuer Name and Ticker or Trading Symbol
UMB FINANCIAL CORP [UMBF]
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(Last)
(First)
(Middle)
1010 GRAND BOULEVARD |
4. 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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(Street)
KANSAS CITY, MO 64106
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 2567.34 | D | |
| Common Stock | 201.72 | I | By ESOP |
| Common Stock | 149.7418 | I | By 401K |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right to Buy) | 2/11/2020 (1) | 2/11/2025 | Common Stock | 173 | $51.42 | D | |
| Stock Option (Right to Buy) | 2/5/2020 (2) | 2/5/2026 | Common Stock | 167 | $47.68 | D | |
| Stock Option (Right to Buy) | 2/2/2019 (3) | 2/2/2027 | Common Stock | 381 | $75.25 | D | |
| Explanation of Responses: |
| (1) | Options will vest 100% on 2/11/2020. |
| (2) | Options will vest 50% on 2/5/2018, 75% on 2/5/2019, and 100% on 2/5/2020. |
| (3) | Options will vest 50% on 2/2/19, 75% on 2/2/20, and 100% on 2/2/21. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Odgers David Carl
1010 GRAND BOULEVARD
KANSAS CITY, MO 64106 |
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| Chief Accounting Officer |
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Signatures
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| /s/ Megan L. Mercer, attorney-in-fact for Mr. Odgers | | 2/6/2020 |
| **Signature of Reporting Person | Date |
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