SEC Form 4 · accession 0001127602-18-037243
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
Dec 21, 2018
Accepted (ET)
Dec 26, 2018 · 1:15 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 | Dec 21, 2018 | S | 1,000 | $38.05 | D | 46,438 | 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 | 560 | 560 | 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 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.
- F4The RSU's vest 100% in the first quarter of 2021, subject to continued employment by the reporting person.