Douglas Bauche - 31 Dec 2023 Form 5 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
SEVP, Chief Credit Officer
Signature
/s/ Douglas Bauche
Issuer symbol
EFSC
Transactions as of
31 Dec 2023
Net transactions value
$0
Form type
5
Filing time
19 Jan 2024, 14:14:09 UTC
Previous filing
07 Dec 2023
Next filing
08 Feb 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding EFSC Common Stock 2,847 31 Dec 2023 401(K) Plan F1
holding EFSC Common Stock 12,985 31 Dec 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
holding EFSC Non Qualified Stock Option (Right to Buy) 4,730 31 Dec 2023 Common Stock 4,730 $43.81 Direct F2
holding EFSC Non Qualified Stock Option (Right to Buy) 5,081 31 Dec 2023 Common Stock 5,081 $48.34 Direct F3
holding EFSC Non Qualified Stock Option (Right to Buy) 5,105 31 Dec 2023 Common Stock 5,105 $54.46 Direct F4
holding EFSC Restricted Share Units 897 31 Dec 2023 Common Stock 897 Direct F5, F6
holding EFSC Restricted Share Units 898 31 Dec 2023 Common Stock 898 Direct F5, F7
holding EFSC Restricted Share Units 1,043 31 Dec 2023 Common Stock 1,043 Direct F5, F8
holding EFSC Restricted Share Units 9,978 31 Dec 2023 Common Stock 9,978 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 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 option becomes exercisable after a three year period on 2/28/26.
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 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 RSU vest 100% in the first quarter of 2026, 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.