SEC Form 4 · accession 0001127602-16-070342
ENTERPRISE FINANCIAL SERVICES CORP · EFSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Richard Goodman
Officer — President
Period of report
Dec 15, 2016
Accepted (ET)
Dec 19, 2016 · 9:40 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, 2016 | M | 1,521 | $0.00 | A | 37,646 | D | |
| Common Stock | Dec 15, 2016 | F | 508 | $40.90 | D | 37,138 | D | |
| Common StockF1 | holding | — | — | — | 4,306 | 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 | $0.00 | Dec 15, 2016 | M | 1,521 | D | — | — | Common Stock | 1,521 | 1,525 | D |
| Restricted Share UnitsF4,F5 | — | holding | — | — | — | — | — | Common Stock | 10,457 | 10,457 | D |
| Stock Settled Stock Appreciation RightsF6 | $20.63 | holding | — | — | — | Dec 15, 2008 | Jun 13, 2018 | Common Stock | 7,500 | 7,500 | 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 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.
- F4The 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.
- F5The RSUs cliff vest on the two year anniversary date of the grant, subject to continued employment of the reporting person. On the vesting date, the reporting person will receive one share of Common Stock for each RSU.
- 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.