Nicole M. Iannacone - 30 Nov 2021 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
EVP, Chief Risk Officer
Signature
/s/ Nicole M. Iannacone
Issuer symbol
EFSC
Transactions as of
30 Nov 2021
Net transactions value
+$709
Form type
4
Filing time
03 Dec 2021, 11:04:02 UTC
Previous filing
04 Jun 2021
Next filing
26 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 Other $709 +18 +0.38% $39.41 4,748 30 Nov 2021 Direct F1, 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) 4,521 30 Nov 2021 Common Stock 4,521 $43.81 Direct F3
holding EFSC Restricted Share Units 391 30 Nov 2021 Common Stock 391 Direct F4, F5
holding EFSC Restricted Share Units 540 30 Nov 2021 Common Stock 540 Direct F4, F6
holding EFSC Restricted Share Units 857 30 Nov 2021 Common Stock 857 Direct F4, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Issuer's 2018 Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of June 1, 2021 through November 30, 2021. This transaction is exempt under Section 16b-3(c).
F2 In accordance with the terms of the ESPP, the reported shares were acquired based on 85% of the closing price of the Issuer's common stock on November 30, 2021.
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.