James Brian Lally - 06 Feb 2024 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
CEO, Director
Signature
/s/James Brian Lally
Issuer symbol
EFSC
Transactions as of
06 Feb 2024
Net transactions value
-$386,189
Form type
4
Filing time
08 Feb 2024, 15:08:42 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 +3,345 +4.6% $0.000000 76,582 06 Feb 2024 Direct
transaction EFSC Common Stock Tax liability $52,364 -1,325 -1.7% $39.52 75,257 06 Feb 2024 Direct F3
transaction EFSC Common Stock Award $0 +13,380 +18% $0.000000 88,637 06 Feb 2024 Direct F4
transaction EFSC Common Stock Tax liability $198,272 -5,017 -5.7% $39.52 83,620 06 Feb 2024 Direct F3
transaction EFSC Common Stock Award $0 +9,232 +11% $0.000000 92,852 06 Feb 2024 Direct F4
transaction EFSC Common Stock Tax liability $135,554 -3,430 -3.7% $39.52 89,422 06 Feb 2024 Direct F3
holding EFSC Common Stock 18,028 06 Feb 2024 401 (K) Plan F1
holding EFSC Common Stock 4,107 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 -3,345 -100% $0.000000* 0 06 Feb 2024 Common Stock 3,345 Direct F5, F6
holding EFSC Non Qualified Stock Option (Right to Buy) 17,637 06 Feb 2024 Common Stock 17,637 $43.81 Direct F7
holding EFSC Non Qualified Stock Option (Right to Buy) 20,325 06 Feb 2024 Common Stock 20,325 $48.34 Direct F8
holding EFSC Non Qualified Stock Option (Right to Buy) 20,438 06 Feb 2024 Common Stock 20,438 $54.46 Direct F9
holding EFSC Restricted Share Units 3,592 06 Feb 2024 Common Stock 3,592 Direct F5, F10
holding EFSC Restricted Share Units 4,176 06 Feb 2024 Common Stock 4,176 Direct F5, F11
holding EFSC Restricted Share Units 23,947 06 Feb 2024 Common Stock 23,947 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.