Douglas Bauche - 24 Jan 2022 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
Chief Credit Officer
Signature
/s/ Douglas Bauche
Issuer symbol
EFSC
Transactions as of
24 Jan 2022
Net transactions value
-$29,402
Form type
4
Filing time
26 Jan 2022, 10:26:44 UTC
Previous filing
12 Jan 2022
Next filing
28 Feb 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 Options Exercise $0 +453 +5.1% $0.000000 9,337 24 Jan 2022 Direct
transaction EFSC Common Stock Tax liability $8,772 -182 -1.9% $48.20 9,155 24 Jan 2022 Direct F1
transaction EFSC Common Stock Award $0 +1,068 +12% $0.000000 10,223 24 Jan 2022 Direct F2
transaction EFSC Common Stock Tax liability $20,630 -428 -4.2% $48.20 9,795 24 Jan 2022 Direct F1
holding EFSC Common Stock 2,525 24 Jan 2022 401(K) Plan 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
transaction EFSC Restricted Share Units Options Exercise $0 -453 -100% $0.000000* 0 24 Jan 2022 Common Stock 453 Direct F4, F5
holding EFSC Non Qualified Stock Option (Right to Buy) 4,730 24 Jan 2022 Common Stock 4,730 $43.81 Direct F6
holding EFSC Restricted Share Units 557 24 Jan 2022 Common Stock 557 Direct F4, F7
holding EFSC Restricted Share Units 897 24 Jan 2022 Common Stock 897 Direct F4, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Withholding of stock to satisfy tax withholding obligation on issuance of common stock.
F2 The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.
F3 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.
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 This option becomes exercisable after a three year period on 2/25/24.
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.