SEC Form 4 · accession 0001127602-15-034356

ENTERPRISE FINANCIAL SERVICES CORP · EFSC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman Chief Credit Officer

Period of report

Dec 15, 2015

Accepted (ET)

Dec 17, 2015 · 11:31 am EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001025835

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Dec 15, 2015	M	760	$0.00	A	10,126	D
Common Stock	Dec 15, 2015	F	254	$28.28	D	9,872	D
Common Stock^F1	Dec 15, 2015	F	411	$28.28	D	9,461	D
Common Stock	holding	—	—		—	109,813	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Share Units^F2,F3	—	Dec 15, 2015	M	760	D	—	—	Common Stock	760	1,523	D
Stock Settled Stock Appreciation Rights^F4	$15.95	holding	—	—	—	Jul 7, 2009	Jul 7, 2018	Common Stock	36,000	36,000	D

F1Withholding of stock to satisfy tax withholding obligation on issuance of restricted stock.
F2The RSUs were granted pursuant to the Company's 2002 Stock Incentive Plan. Each RSU represents the right to receive one share of Common Stock, subject to adjustment as provided in the Grant Agreement.
F3The RSUs vest at a rate of 20% annually over five years, subject to continued employment of the reporting person. Vesting occurs on December 15 of each year, commencing in the calendar year of the grant. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
F4Each SSAR consists of the right to receive an amount, in common stock, equal to the excess of the fair market value of a share of common stock on the date of exercise over the exercise price of the SSAR. The SSARs vest at a rate of 20% annually over five years, subject to continued employment of the reporting person. Vesting occurs on July 7 of each year, commencing July 7, 2009.