Douglas Bauche - 31 Dec 2022 Form 5 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
Chief Credit Officer
Signature
/s/ Douglas Bauche
Issuer symbol
EFSC
Transactions as of
31 Dec 2022
Net transactions value
$0
Form type
5
Filing time
13 Jan 2023, 14:00:28 UTC
Previous filing
07 Dec 2022
Next filing
01 Feb 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding EFSC Common Stock 2,693 31 Dec 2022 401(K) Plan F1
holding EFSC Common Stock 10,269 31 Dec 2022 Direct

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) 4,730 31 Dec 2022 Common Stock 4,730 $43.81 Direct F2
holding EFSC Non Qualified Stock Option (Right to Buy) 5,081 31 Dec 2022 Common Stock 5,081 $48.34 Direct F3
holding EFSC Restricted Share Units 557 31 Dec 2022 Common Stock 557 Direct F4, F5
holding EFSC Restricted Share Units 897 31 Dec 2022 Common Stock 897 Direct F4, F6
holding EFSC Restricted Share Units 898 31 Dec 2022 Common Stock 898 Direct F4, F7
holding EFSC Restricted Share Units 9,978 31 Dec 2022 Common Stock 9,978 Direct F4, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These securities are represented by units held in a unitized stock fund through the Company's 401(k) Plan. The unitized stock fund consists of cash and common stock in amounts that vary from time to time. The Reporting Person has 5,508 units in the 401(k) Plan, which units consisted of 2,693 shares of common stock.
F2 This option becomes exercisable after a three year period on 2/25/24.
F3 This option becomes exercisable after a three year period on 2/24/25.
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 2023, subject to continued employment by the reporting person.
F6 The RSU's vest 100% in the first quarter of 2024, subject to continued employment by the reporting person.
F7 The RSU's vest 100% in the first quarter of 2025, subject to continued employment by the reporting person.
F8 The RSUs vest over six years in one-third installments on each of February 24, 2024, February 24, 2026, and February 24, 2028. Vesting is subject to continued employment of the reporting person. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.