SEC Form 4 · accession 0001127602-18-029889
ENTERPRISE FINANCIAL SERVICES CORP · EFSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Q Arnold
Director
Period of report
Oct 5, 2018
Accepted (ET)
Oct 10, 2018 · 9:11 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001025835
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2,F3 | — | Oct 5, 2018 | A | 92 | A | — | — | Common Stock | 92 | 1,068 | D |
Explanation of responses
- F1Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.
- F2Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.
- F3Such units are payable solely in common stock and subject to the terms and conditions of the director's deferral election and the Plan.