SEC Form 4 · accession 0001127602-18-035825

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

Dec 7, 2018

Accepted (ET)

Dec 11, 2018 · 3:58 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	holding	—	—		—	22,899	D
Common Stock^F1	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^F2,F3	—	Dec 7, 2018	A	2,313	A	—	—	Common Stock	2,313	2,313	D
Restricted Share Units^F2,F4	—	holding	—	—	—	—	—	Common Stock	610	610	D

F1The 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.
F2The 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.
F3The RSU's vest 50% on the first anniversary of the closing date of the merger with Trinity Capital Corporation and 50% on the second anniversary of the closing of the merger with Trinity Capital Corporation, subject to continued employment of the reporting person and other terms of the award agreement. On the vesting date, the reporting person will receive one share of Common Stock for each RSU.
F4The RSU's vest 100% in the first quarter of 2021, subject to continued employment by the reporting person.