SEC Form 4 · accession 0001025835-26-000128
ENTERPRISE FINANCIAL SERVICES CORP · EFSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Brian Lally
Officer — CEO · Director
Period of report
Jun 30, 2026
Accepted (ET)
Jul 8, 2026 · 3:54 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001025835
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jun 30, 2026 | J | 462 | $45.94 | A | 116,158 | D | |
| Common StockF3 | holding | — | — | — | 19,570 | I | 401 (K) Plan | |
| Common StockF4 | holding | — | — | — | 4,107 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non Qualified Stock Option (Right to Buy) | $43.81 | holding | — | — | — | Feb 6, 2024 | Feb 25, 2031 | Common Stock | 17,637 | 17,637 | D |
| Non Qualified Stock Option (Right to Buy) | $48.34 | holding | — | — | — | Feb 3, 2025 | Feb 24, 2032 | Common Stock | 20,325 | 20,325 | D |
| Non Qualified Stock Option (Right to Buy) | $54.46 | holding | — | — | — | Feb 10, 2026 | Feb 28, 2033 | Common Stock | 20,438 | 20,438 | D |
| Non Qualified Stock Option (Right to Buy)F5 | $39.50 | holding | — | — | — | — | Feb 28, 2034 | Common Stock | 30,661 | 30,661 | D |
| Non Qualified Stock Option (Right to Buy)F6 | $57.17 | holding | — | — | — | — | Mar 4, 2035 | Common Stock | 16,144 | 16,144 | D |
| Restricted Share UnitsF7,F8 | — | holding | — | — | — | — | — | Common Stock | 5,857 | 5,857 | D |
| Restricted Share UnitsF7,F9 | — | holding | — | — | — | — | — | Common Stock | 5,398 | 5,398 | D |
| Restricted Share UnitsF7,F10 | — | holding | — | — | — | — | — | Common Stock | 6,344 | 6,344 | D |
| Restricted Share UnitsF7,F11 | — | holding | — | — | — | — | — | Common Stock | 7,982 | 7,982 | D |
Explanation of responses
- F1The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Issuer's 2018 Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of January 1, 2026, through June 30, 2026. This transaction is exempt under Section 16b-3(c).
- F10The RSU's vest 100% in the first quarter of 2029, subject to continued employment by the reporting person.
- F11The RSUs vest over six years in one-third installments on each of February 24, 2024, February 24, 2026, and February 24, 2028. Vesting is subject to continued employment of the reporting person. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
- F2In accordance with the terms of the ESPP, the reported shares were acquired based on 85% of the closing price of the Issuer's common stock on January 2, 2026.
- F3These securities are shares of EFSC common stock held through the Company's 401(k) Plan.
- F4These shares are held jointly with spouse.
- F5This option becomes exercisable in the first quarter of 2027, subject to continued employment by the reporting person.
- F6The option becomes exercisable in the first quarter of 2028, subject to continued employment by the reporting person.
- F7The RSU's were granted pursuant to the Company's 2018 Stock Incentive Plan. Each RSU represents the right to receive one share of Common Stock, subject to adjustment as provided in the Grant Agreement.
- F8The RSU's vest 100% in the first quarter of 2027, subject to continued employment by the reporting person.
- F9The RSU's vest 100% in the first quarter of 2028, subject to continued employment by the reporting person.