SEC Form 4 · accession 0001127602-16-044393

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

Feb 29, 2016

Accepted (ET)

Mar 2, 2016 · 10:15 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	Feb 29, 2016	M	36,000	$15.95	A	42,797	D
Common Stock^F1	Feb 29, 2016	F	25,719	$27.91	D	17,078	D
Common Stock	holding	—	—		—	118,547	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Settled Stock Appreciation Rights^F2	$15.95	Feb 29, 2016	M	36,000	D	Jul 7, 2009	Jul 7, 2018	Common Stock	36,000	0	D
Restricted Share Units^F3,F4	—	holding	—	—	—	—	—	Common Stock	1,523	1,523	D

F1Withholding of stock to satisfy exercise price and tax withholding obligation in connection with the exercise of stock settled appreciation rights.
F2Each 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.
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.