Sec Form 4 Filing - Hagedorn Michael D @ UMB FINANCIAL CORP - 2018-10-03

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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
2. Issuer Name and Ticker or Trading Symbol
UMB FINANCIAL CORP [ UMBF]
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
(Last) (First) (Middle)
1010 GRAND BLVD.
3. Date of Earliest Transaction (MM/DD/YY)
10/03/2018
(Street)
KANSAS CITY, MO64106
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/03/2018 M 2,648 A $ 45.58 49,439.9536 ( 1 ) D
Common Stock 10/03/2018 M 3,022 A $ 57.4 52,461.9536 D
Common Stock 10/03/2018 M 8,054 A $ 51.42 60,515.9536 D
Common Stock 10/03/2018 M 7,260 A $ 47.68 67,775.9536 D
Common Stock 10/03/2018 S 200 D $ 72.4 67,575.9536 D
Common Stock 10/03/2018 S 100 D $ 72.41 67,475.9536 D
Common Stock 10/03/2018 S 100 D $ 72.42 67,375.9536 D
Common Stock 10/03/2018 S 200 D $ 72.43 67,175.9536 D
Common Stock 10/03/2018 S 689 D $ 72.44 66,486.9536 D
Common Stock 10/03/2018 S 400 D $ 72.45 66,086.9536 D
Common Stock 10/03/2018 S 300 D $ 72.46 65,786.9536 D
Common Stock 10/03/2018 S 700 D $ 72.47 65,086.9536 D
Common Stock 10/03/2018 S 600 D $ 72.48 64,486.9536 D
Common Stock 10/03/2018 S 500 D $ 72.49 63,986.9536 D
Common Stock 10/03/2018 S 500 D $ 72.5 63,486.9536 D
Common Stock 10/03/2018 S 100 D $ 72.505 63,386.9536 D
Common Stock 10/03/2018 S 100 D $ 72.51 63,286.9536 D
Common Stock 10/03/2018 S 200 D $ 72.525 63,086.9536 D
Common Stock 10/03/2018 S 300 D $ 72.53 62,786.9536 D
Common Stock 10/03/2018 S 300 D $ 72.54 62,486.9536 D
Common Stock 10/03/2018 S 200 D $ 72.55 62,286.9536 D
Common Stock 10/03/2018 S 692 D $ 72.56 61,594.9536 D
Common Stock 10/03/2018 S 1,072 D $ 72.57 60,522.9536 D
Common Stock 10/03/2018 S 1,000 D $ 72.58 59,522.9536 D
Common Stock 10/03/2018 S 100 D $ 72.585 59,422.9536 D
Common Stock 10/03/2018 S 300 D $ 72.59 59,122.9536 D
Common Stock 10/03/2018 S 200 D $ 72.6 58,922.9536 D
Common Stock 10/03/2018 S 100 D $ 72.605 58,822.9536 D
Common Stock 10/03/2018 S 1,095 D $ 72.61 57,727.9536 D
Common Stock 290.2006 I By ESOP
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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) $ 45.58 10/03/2018 M 2,648 01/01/2016 01/01/2023 Common Stock 2,648 $ 0 0 D
Stock Option (Right to Buy) $ 57.4 10/03/2018 M 3,022 01/01/2017( 2 ) 01/01/2024 Common Stock 3,022 $ 0 3,022 D
Stock Option (Right to Buy) $ 51.42 10/03/2018 M 8,054 02/11/2018( 3 ) 02/11/2025 Common Stock 8,054 $ 0 8,054 D
Stock Option (Right to Buy) $ 47.68 10/03/2018 M 7,260 02/05/2018( 4 ) 02/05/2026 Common Stock 7,260 $ 0 7,260 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Hagedorn Michael D
1010 GRAND BLVD.
KANSAS CITY, MO64106
President of Subsidiary
Signatures
John Pauls, Attorney-in-fact for Mr. Hagedorn 10/04/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Reflects shares acquired through the reinvestment of dividends on restricted stock.
( 2 )Options vest 50% on 1/1/2017, 75% on 1/1/2018, and 100% on 1/1/2019
( 3 )Options will vest 50% on 2/11/2018, 75% on 2/11/2019, and 75% on 2/11/2020
( 4 )Options will vest 50% on 2/5/2018, 75% on 2/5/2019, and 100% on 2/5/2020.

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