Troy Dumlao - Nov 9, 2021 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
SVP, Chief Accounting Officer
Signature
/s/ Troy Dumlao
Stock symbol
EFSC
Transactions as of
Nov 9, 2021
Transactions value $
$10,000
Form type
4
Date filed
11/12/2021, 10:56 AM
Previous filing
Jun 4, 2021
Next filing
Dec 3, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EFSC Depository Shares Purchase $10K +400 $25.00 400 Nov 9, 2021 Direct F1
holding EFSC Common Stock 2.52K Nov 9, 2021 Direct

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) 1.06K Nov 9, 2021 Common Stock 1.06K $43.81 Direct F2
holding EFSC Restricted Share Units 366 Nov 9, 2021 Common Stock 366 Direct F3, F4
holding EFSC Restricted Share Units 737 Nov 9, 2021 Common Stock 737 Direct F3, F5
holding EFSC Restricted Share Units 989 Nov 9, 2021 Common Stock 989 Direct F3, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 1. Each Depositary Share represents a 1/40th interest in a share of the Issuer's 5.00% Series A Fixed-Rate Non-Cumulative Perpetual Preferred Stock. Depositary Shares were purchased in an underwritten public offering.
F2 The Options vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on February 25, 2024
F3 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.
F4 The RSUs vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on April 1, 2022. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
F5 The RSUs vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on February 26, 2023. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
F6 The RSUs vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on February 25, 2024. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.