Mark G. Ponder - Jan 30, 2023 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
EVP, Chief Admin. Officer
Signature
/s/ MARK G PONDER
Stock symbol
EFSC
Transactions as of
Jan 30, 2023
Transactions value $
-$83,793
Form type
4
Date filed
2/1/2023, 04:41 PM
Previous filing
Jan 13, 2023
Next filing
Feb 7, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EFSC Common Stock Options Exercise $0 +531 +5.92% $0.00 9.5K Jan 30, 2023 Direct
transaction EFSC Common Stock Tax liability -$13.4K -259 -2.73% $51.82 9.24K Jan 30, 2023 Direct F1
transaction EFSC Common Stock Award $0 +2.79K +30.23% $0.00 12K Jan 30, 2023 Direct F2
transaction EFSC Common Stock Tax liability -$70.4K -1.36K -11.29% $51.82 10.7K Jan 30, 2023 Direct F1
holding EFSC Common Stock 794 Jan 30, 2023 401(K) Plan F3
holding EFSC Common Stock 200 Jan 30, 2023 Self IRA
holding EFSC Common Stock 5.54K Jan 30, 2023 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
transaction EFSC Restricted Share Units Options Exercise $0 -531 -100% $0.00* 0 Jan 30, 2023 Common Stock 531 Direct F6, F10
holding EFSC Non Qualified Stock Option (Right to Buy) 4.52K Jan 30, 2023 Common Stock 4.52K $43.81 Direct F4
holding EFSC Non Qualified Stock Option (Right to Buy) 4.88K Jan 30, 2023 Common Stock 4.88K $48.34 Direct F5
holding EFSC Restricted Share Units 857 Jan 30, 2023 Common Stock 857 Direct F6, F7
holding EFSC Restricted Share Units 862 Jan 30, 2023 Common Stock 862 Direct F6, F8
holding EFSC Restricted Share Units 9.98K Jan 30, 2023 Common Stock 9.98K Direct F6, 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 The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.
F3 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 1,624 units in the 401(k) Plan, which units consisted of 794 shares of common stock.
F4 This option becomes exercisable after a three year period on 2/25/24.
F5 This option becomes exercisable after a three year period on 2/24/25.
F6 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.
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.
F10 The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.