Troy Dumlao - 24 Feb 2022 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
SVP, Chief Accounting Officer
Signature
/s/ Troy Dumlao
Issuer symbol
EFSC
Transactions as of
24 Feb 2022
Net transactions value
-$12,266
Form type
4
Filing time
28 Feb 2022, 13:17:22 UTC
Previous filing
03 Dec 2021
Next filing
05 Apr 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 +369 +14% $0.000000 3,041 25 Feb 2022 Direct
transaction EFSC Common Stock Tax liability $6,482 -130 -4.3% $49.86 2,911 25 Feb 2022 Direct F1
transaction EFSC Common Stock Options Exercise $0 +330 +11% $0.000000 3,241 25 Feb 2022 Direct
transaction EFSC Common Stock Tax liability $5,784 -116 -3.6% $49.86 3,125 25 Feb 2022 Direct F1
holding EFSC Depository Shares 400 24 Feb 2022 Direct 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
transaction EFSC Restricted Share Units Award +733 733 24 Feb 2022 Common Stock 733 Direct F3, F4
transaction EFSC Non Qualified Stock Option (Right to Buy) Award $0 +1,266 $0.000000 1,266 24 Feb 2022 Common Stock 1,266 $48.34 Direct F5
transaction EFSC Restricted Share Units Options Exercise $0 -369 -50% $0.000000 368 25 Feb 2022 Common Stock 369 Direct F3, F6
transaction EFSC Restricted Share Units Options Exercise $0 -330 -33% $0.000000 659 25 Feb 2022 Common Stock 330 Direct F3, F7
holding EFSC Non Qualified Stock Option (Right to Buy) 1,058 24 Feb 2022 Common Stock 1,058 $43.81 Direct F8
holding EFSC Restricted Share Units 366 24 Feb 2022 Common Stock 366 Direct F3, F9
* 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 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.
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 February 24, 2025. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
F5 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 24, 2025. 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 26, 2023. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
F7 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.
F8 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
F9 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.