JAMES BRIAN LALLY - 24 Jan 2022 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
CEO, Director
Signature
/s/James Brian Lally
Issuer symbol
EFSC
Transactions as of
24 Jan 2022
Transactions value $
-$98,039
Form type
4
Filing time
26 Jan 2022, 10:31:22 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 +1.53K +2.72% $0.00 57.9K 24 Jan 2022 Direct
transaction EFSC Common Stock Tax liability -$27.9K -578 -1% $48.20 57.3K 24 Jan 2022 Direct F1
transaction EFSC Common Stock Award $0 +3.61K +6.31% $0.00 60.9K 24 Jan 2022 Direct F2
transaction EFSC Common Stock Tax liability -$70.2K -1.46K -2.39% $48.20 59.4K 24 Jan 2022 Direct F1
holding EFSC Common Stock 16.3K 24 Jan 2022 401 (K) Plan F3
holding EFSC Common Stock 9.27K 24 Jan 2022 Direct F4

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 -1.53K -100% $0.00* 0 24 Jan 2022 Common Stock 1.53K Direct F5, F6
holding EFSC Restricted Share Units 1.98K 24 Jan 2022 Common Stock 1.98K Direct F5, F7
holding EFSC Restricted Share Units 3.35K 24 Jan 2022 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 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 These shares are held jointly with spouse.
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.