SEC Form 4 · accession 0001127602-18-007030
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
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 1:25 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, 2018 | S | 1,000 | $47.55 | D | 41,875 | D | |
| Common Stock | Feb 15, 2018 | S | 200 | $47.56 | D | 41,675 | D | |
| Common StockF2 | holding | — | — | — | 4,329 | 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 UnitsF3,F4 | — | holding | — | — | — | — | — | Common Stock | 10,457 | 10,457 | D |
| Stock Settled Stock Appreciation RightsF5 | $20.63 | holding | — | — | — | Dec 15, 2008 | Jun 13, 2018 | Common Stock | 7,500 | 7,500 | D |
Explanation of responses
- F1This transaction is pursuant to a 10b5-1 plan.
- F2The 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.
- F3The 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.
- F4The 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.
- F5Each 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.