James Brian Lally - 26 Jun 2025 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
CEO, Director
Signature
/s/James Brian Lally
Issuer symbol
EFSC
Transactions as of
26 Jun 2025
Net transactions value
-$100,832
Form type
4
Filing time
27 Jun 2025, 16:58:14 UTC
Previous filing
26 Jun 2025
Next filing
09 Jul 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
LALLY JAMES BRIAN CEO, Director 150 N. MERAMEC, CLAYTON /s/James Brian Lally 27 Jun 2025 0001674404

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EFSC Common Stock Sale $100,832 -1,828 -1.8% $55.16 100,885 26 Jun 2025 Direct F1
holding EFSC Common Stock 18,535 26 Jun 2025 401 (K) Plan F2
holding EFSC Common Stock 4,107 26 Jun 2025 Direct F3

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) 17,637 26 Jun 2025 Common Stock 17,637 $43.81 Direct
holding EFSC Non Qualified Stock Option (Right to Buy) 20,325 26 Jun 2025 Common Stock 20,325 $48.34 Direct F4
holding EFSC Non Qualified Stock Option (Right to Buy) 20,438 26 Jun 2025 Common Stock 20,438 $54.46 Direct F5
holding EFSC Non Qualified Stock Option (Right to Buy) 30,661 26 Jun 2025 Common Stock 30,661 $39.50 Direct F6
holding EFSC Non Qualified Stock Option (Right to Buy) 16,144 26 Jun 2025 Common Stock 16,144 $57.17 Direct F7
holding EFSC Restricted Share Units 4,176 26 Jun 2025 Common Stock 4,176 Direct F8, F9
holding EFSC Restricted Share Units 5,857 26 Jun 2025 Common Stock 5,857 Direct F8, F10
holding EFSC Restricted Share Units 5,398 26 Jun 2025 Common Stock 5,398 Direct F8, F11
holding EFSC Restricted Share Units 15,964 26 Jun 2025 Common Stock 15,964 Direct F8, F12
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.00 to $55.80. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F2 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.
F3 These shares are held jointly with spouse.
F4 This option becomes exercisable in the first quarter of 2025, subject to continued employment by the reporting person.
F5 This option becomes exercisable in the first quarter of 2026, subject to continued employment by the reporting person.
F6 This option becomes exercisable in the first quarter of 2027, subject to continued employment by the reporting person.
F7 The option becomes exercisable in the first quarter of 2028, subject to continued employment by the reporting person.
F8 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.
F9 The RSU vest 100% 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 2027, subject to continued employment by the reporting person.
F11 The RSU's vest 100% in the first quarter of 2028, 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.