SEC Form 4 · accession 0001127602-18-023463
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
Jul 16, 2018
Accepted (ET)
Jul 18, 2018 · 10:57 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 StockF2 | Jul 16, 2018 | S | 1,200 | $54.23 | D | 41,713 | D | |
| Common StockF3 | 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 UnitsF4,F5 | — | holding | — | — | — | — | — | Common Stock | 10,457 | 10,457 | D |
| Restricted Share UnitsF6,F7 | — | holding | — | — | — | — | — | Common Stock | 560 | 560 | D |
Explanation of responses
- F1This transaction is pursuant to a 10b5-1 plan.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.20 to $54.25, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- 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.
- 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.
- F6The RSU's were granted pursuant to the Company's 2018 Stock Incentive Plan. Each RSU represents the right to receive one share of Common Stock, subject to adjustment as provided in the Grant Agreement.
- F7The RSU's vest 100% in the first quarter of 2021, subject to continued employment by the reporting person.