Scott Richard Goodman - Dec 31, 2022 Form 5 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role: President
Signature: /s/ Scott Richard Goodman
Stock symbol: EFSC
Transactions as of: Dec 31, 2022
Transactions value $: $0
Form type: 5
Date filed: 1/13/2023, 02:02 PM
Previous filing: Feb 28, 2022
Next filing: Feb 1, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	EFSC	Common Stock						45.3K	Dec 31, 2022	Direct
holding	EFSC	Common Stock						4.75K	Dec 31, 2022	401(k) Plan	F1

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)						6.28K	Dec 31, 2022	Common Stock	6.28K	$43.81	Direct	F2
holding	EFSC	Non Qualified Stock Option (Right to Buy)						6.63K	Dec 31, 2022	Common Stock	6.63K	$48.34	Direct	F3
holding	EFSC	Restricted Share Units						737	Dec 31, 2022	Common Stock	737		Direct	F4, F5
holding	EFSC	Restricted Share Units						1.19K	Dec 31, 2022	Common Stock	1.19K		Direct	F4, F6
holding	EFSC	Restricted Share Units						1.17K	Dec 31, 2022	Common Stock	1.17K		Direct	F4, F7
holding	EFSC	Restricted Share Units						15K	Dec 31, 2022	Common Stock	15K		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 9,718 units in the 401(k) Plan, which units consisted of 4,752 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.