James Brian Lally - 31 Dec 2022 Form 5 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role: CEO, Director
Signature: /s/James Brian Lally
Issuer symbol: EFSC
Transactions as of: 31 Dec 2022
Net transactions value: $0
Form type: 5
Filing time: 13 Jan 2023, 14:04:30 UTC
Previous filing: 07 Jun 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						65,128	31 Dec 2022	Direct
holding	EFSC	Common Stock						17,203	31 Dec 2022	401 (K) Plan	F1
holding	EFSC	Common Stock						4,107	31 Dec 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
holding	EFSC	Non Qualified Stock Option (Right to Buy)						17,637	31 Dec 2022	Common Stock	17,637	$43.81	Direct	F3
holding	EFSC	Non Qualified Stock Option (Right to Buy)						20,325	31 Dec 2022	Common Stock	20,325	$48.34	Direct	F4
holding	EFSC	Restricted Share Units						1,982	31 Dec 2022	Common Stock	1,982		Direct	F5, F6
holding	EFSC	Restricted Share Units						3,345	31 Dec 2022	Common Stock	3,345		Direct	F5, F7
holding	EFSC	Restricted Share Units						3,592	31 Dec 2022	Common Stock	3,592		Direct	F5, F8
holding	EFSC	Restricted Share Units						23,947	31 Dec 2022	Common Stock	23,947		Direct	F5, F9

* 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 35,183 units in the 401(k) Plan, which units consisted of 17,203 shares of common stock.
F2	These shares are held jointly with spouse.
F3	This option becomes exercisable after a three year period on 2/25/24.
F4	This option becomes exercisable after a three year period on 2/24/25.
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 2023, subject to continued employment by the reporting person.
F7	The RSU's vest 100% in the first quarter of 2024, subject to continued employment by the reporting person.
F8	The RSU's vest 100% in the first quarter of 2025, subject to continued employment by the reporting person.
F9	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.