SEC Form 4 · accession 0001127602-15-034360
ENTERPRISE FINANCIAL SERVICES CORP · EFSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
S Turner Keene
Officer — EVP, Chief Financial Officer
Period of report
Dec 15, 2015
Accepted (ET)
Dec 17, 2015 · 11:36 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 | 3,099 | $0.00 | A | 5,165 | D | |
| Common Stock | Dec 15, 2015 | F | 1,034 | $28.28 | D | 4,131 | D | |
| Common StockF1 | holding | — | — | — | 221 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF2,F3 | — | Dec 15, 2015 | M | 3,099 | D | — | — | Common Stock | 3,099 | 3,101 | D |
Explanation of responses
- F1The reporting person holds units in the stock fund and the number of shares reported as indirectly held in the 401 (k) plan in this row is an estimate of the number of shares of the issuer's Common Stock held in the unitized stock fund and allocated to the reporting person's account.
- F2The RSUs were granted pursuant to the Company's 2013 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 on a pro-rata basis over 3 years subject to continued employment by the reporting person and an Award Agreement mutually agreeable to both parties. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.