SEC Form 4 · accession 0001127602-16-038429
ENTERPRISE FINANCIAL SERVICES CORP · EFSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank H Sanfilippo
Officer — EVP & COO
Period of report
Jan 27, 2016
Accepted (ET)
Jan 29, 2016 · 4:07 pm 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 | Jan 27, 2016 | A | 2,953 | $0.00 | A | 2,953 | D | |
| Common StockF2 | Jan 27, 2016 | F | 1,142 | $26.36 | D | 1,811 | D | |
| Common Stock | Jan 27, 2016 | A | 4,140 | $0.00 | A | 5,951 | D | |
| Common StockF2 | Jan 27, 2016 | F | 1,390 | $26.36 | D | 4,561 | D | |
| Common Stock | holding | — | — | — | 31,166 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF3,F4 | — | holding | — | — | — | — | — | Common Stock | 4,480 | 4,480 | D |
| Stock Settled Stock Appreciation RightsF5 | $25.63 | holding | — | — | — | Dec 15, 2007 | Jun 15, 2017 | Common Stock | 8,843 | 8,843 | D |
| Stock Settled Stock Appreciation RightsF6 | $20.63 | holding | — | — | — | Dec 15, 2008 | Jun 13, 2018 | Common Stock | 5,000 | 5,000 | D |
| Stock Settled Stock Appreciation RightsF7 | $21.49 | holding | — | — | — | Sep 24, 2009 | Sep 24, 2018 | Common Stock | 36,000 | 36,000 | D |
Explanation of responses
- F1The shares of common stock were awarded pursuant to the Company's 2013 Stock Incentive Plan.
- F2Withholding of stock to satisfy tax withholding obligation on issuance of common stock.
- F3The 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.
- F4The 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.
- F5Each 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 employement of the reporting person. Vesting occurs on December 15 of each year, commencing December 15, 2007.
- F6Each 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 December 15 of each year, commencing December 15, 2008.
- F7Each 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 September 24 of each year, commencing September 24, 2009.