SEC Form 4 · accession 0001127602-19-002796
ENTERPRISE FINANCIAL SERVICES CORP · EFSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
S Turner Keene
Officer — EVP, Chief Financial Officer
Period of report
Jan 24, 2019
Accepted (ET)
Jan 28, 2019 · 12:50 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 | 5,151 | $0.00 | A | 28,050 | D | |
| Common StockF2 | Jan 24, 2019 | F | 2,429 | $45.91 | D | 25,621 | D | |
| Common StockF3 | holding | — | — | — | 1,217 | 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 UnitsF4,F5 | — | holding | — | — | — | — | — | Common Stock | 610 | 610 | D |
| Restricted Share UnitsF4,F6 | — | holding | — | — | — | — | — | Common Stock | 2,313 | 2,313 | 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 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.
- F6The 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.