SEC Form 4 · accession 0001127602-17-006783

ENTERPRISE FINANCIAL SERVICES CORP · EFSC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

James Brian Lally

Officer — President

Period of report

Feb 15, 2017

Accepted (ET)

Feb 17, 2017 · 12:27 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	Feb 15, 2017	A	7,380	$0.00	A	31,711	D
Common Stock^F2	Feb 15, 2017	F	2,535	$45.30	D	29,176	D
Common Stock^F3	holding	—	—		—	11,290	I	401 (K) Plan
Common Stock^F4	holding	—	—		—	9,270	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Share Units^F5,F6	—	holding	—	—	—	—	—	Common Stock	2,021	2,021	D
Restricted Share Units^F7,F8	—	holding	—	—	—	—	—	Common Stock	556	556	D
Stock Settled Stock Appreciation Rights^F9	$25.63	holding	—	—	—	Dec 15, 2007	Jun 15, 2017	Common Stock	4,245	4,245	D
Stock Settled Stock Appreciation Rights^F10	$20.63	holding	—	—	—	Dec 15, 2008	Jun 13, 2018	Common Stock	5,188	5,188	D
Stock Settled Stock Appreciation Rights^F11	$10.14	holding	—	—	—	Aug 2, 2011	Aug 2, 2020	Common Stock	15,000	15,000	D

Explanation of responses

F1The shares of common stock were awarded pursuant to the Company's 2013 Stock Incentive Plan.
F10Each 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.
F11Each 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 August 2, of each year, commencing August 2, 2011.
F2Withholding of stock to satisfy tax withholding obligation on issuance of common stock.
F3The 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.
F4These shares are held jointly with spouse.
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.
F6Vesting occurs on December 15, 2017, subject to continued employment of the reporting person. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
F7The 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.
F8The 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.
F9Each 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.