SEC Form 4 · accession 0001127602-16-050623
ENTERPRISE FINANCIAL SERVICES CORP · EFSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen P Marsh
Officer — Chairman Chief Credit Officer
Period of report
Apr 29, 2016
Accepted (ET)
May 3, 2016 · 9:31 am EDT
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 | Apr 29, 2016 | J | 5,062 | $0.00 | D | 0 | D | |
| Common Stock | Apr 29, 2016 | M | 1,523 | $0.00 | A | 1,523 | D | |
| Common Stock | Apr 29, 2016 | F | 509 | $27.37 | D | 1,014 | D | |
| Common Stock | holding | — | — | — | 85,651 | 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 | — | Apr 29, 2016 | M | 1,523 | D | — | — | Common Stock | 1,523 | 0 | D |
| Restricted Share UnitsF5,F6 | — | May 2, 2016 | A | 1,858 | A | — | — | Common Stock | 1,858 | 1,858 | D |
Explanation of responses
- F1Represents shares of restricted stock that were forfeited in connection with the reporting person's retirement.
- 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.
- F4Represents the vesting of RSUs that were accelerated in connection with the reporting person's retirement.
- F5The 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.
- F6RSUs will vest 100% on April 30, 2017, provided that the RSUs shall be forfeited if the reporting person ceases to provide services pursuant to Retirement and Consulting Agreement between the Company and the reporting person prior to such date.