SEC Form 4 · accession 0001127602-18-037478
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
Dec 26, 2018
Accepted (ET)
Dec 28, 2018 · 9:45 am 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 | — | — | — | 1,000 | I | Family Foundation | |
| Common Stock | holding | — | — | — | 9,359 | I | By Trust |
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 | — | Dec 26, 2018 | A | 147 | A | — | — | Common Stock | 147 | 1,660 | 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.