SEC Form 4 · accession 0001127602-19-002794
ENTERPRISE FINANCIAL SERVICES CORP · EFSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark G Ponder
Officer — EVP, Chief Admin. Officer
Period of report
Jan 24, 2019
Accepted (ET)
Jan 28, 2019 · 12:48 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 | Jan 24, 2019 | A | 3,096 | $0.00 | A | 10,777 | D | |
| Common StockF2 | Jan 24, 2019 | F | 1,526 | $45.91 | D | 9,251 | D | |
| Common Stock | holding | — | — | — | 10 | I | 401(K) Plan | |
| Common Stock | holding | — | — | — | 200 | I | Self IRA |
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 | 285 | 285 | D |
Explanation of responses
- F1The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.
- F2Withholding of stock to satisfy tax withholding obligation on issuance of common stock.
- 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.