Scott Richard Goodman - Jun 10, 2021 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
President
Signature
/s/ Scott Richard Goodman
Stock symbol
EFSC
Transactions as of
Jun 10, 2021
Transactions value $
-$196,520
Form type
4
Date filed
6/11/2021, 11:26 AM
Next filing
Jan 12, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EFSC Common Stock Sale -$197K -4K -8.31% $49.13 44.1K Jun 10, 2021 Direct F1
holding EFSC Common Stock 6.29K Jun 10, 2021 401(k) Plan F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding EFSC Non Qualified Stock Option (Right to Buy) 6.28K Jun 10, 2021 Common Stock 6.28K $43.81 Direct F3
holding EFSC Restricted Share Units 616 Jun 10, 2021 Common Stock 616 Direct F4, F5
holding EFSC Restricted Share Units 737 Jun 10, 2021 Common Stock 737 Direct F4, F6
holding EFSC Restricted Share Units 1.19K Jun 10, 2021 Common Stock 1.19K Direct F4, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was conducted pursuant to a 10b5-1 plan entered into in 2021 that specifies the number of shares, the price and date of all purchase transactions to be executed pursuant to the plan.
F2 The 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.
F3 This option becomes exercisable after a three year period on 2/25/24.
F4 The 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.
F5 The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.
F6 The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.
F7 The RSU's vest 100% in the first quarter of 2024, subject to continued employment by the reporting person.