SEC Form 4 · accession 0001127602-18-002930
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
Jan 26, 2018
Accepted (ET)
Jan 30, 2018 · 2:09 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 26, 2018 | A | 6,750 | $0.00 | A | 38,755 | D | |
| Common StockF2 | Jan 26, 2018 | F | 2,945 | $48.70 | D | 35,810 | D | |
| Common StockF3 | holding | — | — | — | 12,012 | I | 401 (K) Plan | |
| Common StockF4 | 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 UnitsF5,F6 | — | holding | — | — | — | — | — | Common Stock | 0 | 0 | D |
| Stock Settled Stock Appreciation RightsF7 | $20.63 | holding | — | — | — | Dec 15, 2008 | Jun 13, 2018 | Common Stock | 5,188 | 5,188 | D |
| Stock Settled Stock Appreciation RightsF8 | $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.
- 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.
- 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 December 15 of each year, commencing December 15, 2008.
- F8Each 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.