Mark G. Ponder - 06 Feb 2024 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
SEVP, Chief Admin. Officer
Signature
/s/ MARK G PONDER
Issuer symbol
EFSC
Transactions as of
06 Feb 2024
Net transactions value
-$122,235
Form type
4
Filing time
08 Feb 2024, 15:05:44 UTC
Previous filing
19 Jan 2024
Next filing
27 Feb 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EFSC Common Stock Options Exercise $0 +857 +7.7% $0.000000 12,012 06 Feb 2024 Direct
transaction EFSC Common Stock Tax liability $16,756 -424 -3.5% $39.52 11,588 06 Feb 2024 Direct F3
transaction EFSC Common Stock Award $0 +3,430 +30% $0.000000 15,018 06 Feb 2024 Direct F4
transaction EFSC Common Stock Tax liability $59,636 -1,509 -10% $39.52 13,509 06 Feb 2024 Direct F3
transaction EFSC Common Stock Award $0 +2,367 +18% $0.000000 15,876 06 Feb 2024 Direct F4
transaction EFSC Common Stock Tax liability $45,843 -1,160 -7.3% $39.52 14,716 07 Feb 2024 Direct F3
holding EFSC Common Stock 1,007 06 Feb 2024 401(K) Plan F1
holding EFSC Common Stock 200 06 Feb 2024 Self IRA
holding EFSC Common Stock 5,335 06 Feb 2024 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
transaction EFSC Restricted Share Units Options Exercise $0 -857 -100% $0.000000* 0 06 Feb 2024 Common Stock 857 Direct F5, F6
holding EFSC Non Qualified Stock Option (Right to Buy) 4,521 06 Feb 2024 Common Stock 4,521 $43.81 Direct F7
holding EFSC Non Qualified Stock Option (Right to Buy) 4,878 06 Feb 2024 Common Stock 4,878 $48.34 Direct F8
holding EFSC Non Qualified Stock Option (Right to Buy) 4,925 06 Feb 2024 Common Stock 4,925 $54.46 Direct F9
holding EFSC Restricted Share Units 862 06 Feb 2024 Common Stock 862 Direct F5, F10
holding EFSC Restricted Share Units 1,006 06 Feb 2024 Common Stock 1,006 Direct F5, F11
holding EFSC Restricted Share Units 9,978 06 Feb 2024 Common Stock 9,978 Direct F5, F12
* 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.
F2 These shares are held jointly with spouse.
F3 Withholding of stock to satisfy tax withholding obligation on issuance of common stock.
F4 The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.
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 This option becomes exercisable in the first quarter of 2024, subject to continued employment by the reporting person.
F8 This option becomes exercisable in the first quarter of 2025, subject to continued employment by the reporting person.
F9 This option becomes exercisable in the first quarter of 2026, subject to continued employment by the reporting person.
F10 The RSU's vest 100% in the first quarter of 2025, subject to continued employment by the reporting person.
F11 The RSU vest 100% in the first quarter of 2026, subject to continued employment by the reporting person.
F12 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.