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