James Brian Lally - Dec 31, 2021 Form 5 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
CEO, Director
Signature
/s/James Brian Lally
Stock symbol
EFSC
Transactions as of
Dec 31, 2021
Transactions value $
$0
Form type
5
Date filed
1/12/2022, 09:04 AM
Previous filing
Jun 4, 2021
Next filing
Jan 26, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding EFSC Common Stock 56.3K Dec 31, 2021 Direct
holding EFSC Common Stock 16.3K Dec 31, 2021 401 (K) Plan F1, F2
holding EFSC Common Stock 9.27K Dec 31, 2021 Direct F3

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) 17.6K Dec 31, 2021 Common Stock 17.6K $43.81 Direct F4
holding EFSC Restricted Share Units 1.53K Dec 31, 2021 Common Stock 1.53K Direct F5, F6
holding EFSC Restricted Share Units 1.98K Dec 31, 2021 Common Stock 1.98K Direct F5, F7
holding EFSC Restricted Share Units 3.35K Dec 31, 2021 Common Stock 3.35K Direct F5, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Balance includes a correction from an administrative error that overstated the number of shares owned at 12/31/20.
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 These shares are held jointly with spouse.
F4 This option becomes exercisable after a three year period on 2/25/24.
F5 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.
F6 The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.
F7 The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.
F8 The RSU's vest 100% in the first quarter of 2024, subject to continued employment by the reporting person.