Troy Dumlao - 28 Feb 2023 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
28 Feb 2023
Net transactions value
$0
Form type
4
Filing time
02 Mar 2023, 12:20:49 UTC
Previous filing
28 Feb 2023
Next filing
18 Apr 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 4,552 28 Feb 2023 Direct
holding EFSC Depository Shares 400 28 Feb 2023 Direct 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
transaction EFSC Restricted Share Units Award $0 +361 $0.000000 361 28 Feb 2023 Common Stock 361 Direct F4, F7
transaction EFSC Non Qualified Stock Option (Right to Buy) Award $0 +1,769 $0.000000 1,769 28 Feb 2023 Common Stock 1,769 $54.46 Direct F8
holding EFSC Non Qualified Stock Option (Right to Buy) 1,058 28 Feb 2023 Common Stock 1,058 $43.81 Direct F2
holding EFSC Non Qualified Stock Option (Right to Buy) 1,266 28 Feb 2023 Common Stock 1,266 $48.34 Direct F3
holding EFSC Restricted Share Units 329 28 Feb 2023 Common Stock 329 Direct F4, F5
holding EFSC Restricted Share Units 488 28 Feb 2023 Common Stock 488 Direct F4, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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
F3 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.
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 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.
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 24, 2025. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
F7 The RSU vest 100% in the first quarter of 2026, subject to continued employment by the reporting person.
F8 The option becomes exercisable after a three year period on 2/28/26.