0001127602-19-020972.txt : 20190606 0001127602-19-020972.hdr.sgml : 20190606 20190606115628 ACCESSION NUMBER: 0001127602-19-020972 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190531 FILED AS OF DATE: 20190606 DATE AS OF CHANGE: 20190606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LALLY JAMES BRIAN CENTRAL INDEX KEY: 0001674404 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15373 FILM NUMBER: 19881893 MAIL ADDRESS: STREET 1: 150 N. MERAMEC CITY: CLAYTON STATE: MO ZIP: 63105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ENTERPRISE FINANCIAL SERVICES CORP CENTRAL INDEX KEY: 0001025835 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 431706259 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 150 NORTH MERAMEC STREET 2: 150 NORTH MERAMEC CITY: CLAYTON STATE: MO ZIP: 63105 BUSINESS PHONE: 3147255500 MAIL ADDRESS: STREET 1: 150 NORTH MERAMEC STREET 2: 150 NORTH MERAMEC CITY: CLAYTON STATE: MO ZIP: 63105 FORMER COMPANY: FORMER CONFORMED NAME: ENTERBANK HOLDINGS INC DATE OF NAME CHANGE: 19961024 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2019-05-31 0001025835 ENTERPRISE FINANCIAL SERVICES CORP EFSC 0001674404 LALLY JAMES BRIAN 150 N. MERAMEC CLAYTON MO 63105 1 1 CEO Common Stock 2019-05-31 5 J 0 E 752 33.31 A 41692 D Common Stock 13283 I 401 (K) Plan Common Stock 9270 D Restricted Share Units Common Stock 1052 1052 D Restricted Share Units Common Stock 1531 1531 D Stock Settled Stock Appreciation Rights 10.14 2011-08-02 2020-08-02 Common Stock 15000 15000 D The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Issuer's 2018 Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of December 1, 2018 through May 31, 2019. This transaction is exempt under Section 16b-3(c). In accordance with the terms of the ESPP, the reported shares were acquired based on 85% of the closing price of the Issuer's common stock on May 31, 2019. The reporting person holds units in the stock fund and the number of shares reported as indirectly held in the 401 (k) plan in this row is an estimate of the number of shares of the issuer's Common Stock held in the unitized stock fund and allocated to the reporting person's account. These shares are held jointly with spouse. 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. The RSU's vest 100% in the first quarter of 2021, subject to continued employment by the reporting person. The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person. Each SSAR consists of the right to receive an amount, in common stock, equal to the excess of the fair market value of a share of common stock on the date of exercise over the exercise price of the SSAR. The SSARs vest at a rate of 20% annually over five years, subject to continued employment of the reporting person. Vesting occurs on August 2, of each year, commencing August 2, 2011. /s/James Brian Lally 2019-06-06