SEC Form 4 · accession 0001127602-18-035384

ENTERPRISE FINANCIAL SERVICES CORP · EFSC

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

Reporting owner

Officer — EVP, Chief Financial Officer

Period of report

Nov 30, 2018

Accepted (ET)

Dec 6, 2018 · 4:29 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^F2	Nov 30, 2018	J	456	$37.99	A	22,899	D
Common Stock^F3	holding	—	—		—	985	I	401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Share Units^F4,F5	—	holding	—	—	—	—	—	Common Stock	610	610	D

F1The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Issuer's 2018 Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of June 1, 2018 through November 30, 2018. This transaction is exempt under Section 16b-3(c).
F2In accordance with the terms of the ESPP, the reported shares were acquired based on 85% of the closing price of the Issuer's common stock on November 30, 2018.
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 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.
F5The RSU's vest 100% in the first quarter of 2021, subject to continued employment by the reporting person.