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

Role
President
Signature
/s/ Scott Richard Goodman
Issuer symbol
EFSC
Transactions as of
10 Jun 2021
Net transactions value
-$196,520
Form type
4
Filing time
11 Jun 2021, 11:26:22 UTC
Next filing
12 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EFSC Common Stock Sale $196,520 -4,000 -8.3% $49.13 44,119 10 Jun 2021 Direct F1
holding EFSC Common Stock 6,288 10 Jun 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) 6,280 10 Jun 2021 Common Stock 6,280 $43.81 Direct F3
holding EFSC Restricted Share Units 616 10 Jun 2021 Common Stock 616 Direct F4, F5
holding EFSC Restricted Share Units 737 10 Jun 2021 Common Stock 737 Direct F4, F6
holding EFSC Restricted Share Units 1,191 10 Jun 2021 Common Stock 1,191 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.