0001127602-20-018826.txt : 20200604
0001127602-20-018826.hdr.sgml : 20200604
20200604151428
ACCESSION NUMBER: 0001127602-20-018826
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200529
FILED AS OF DATE: 20200604
DATE AS OF CHANGE: 20200604
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: 20942816
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
2020-05-29
0001025835
ENTERPRISE FINANCIAL SERVICES CORP
EFSC
0001674404
LALLY JAMES BRIAN
150 N. MERAMEC
CLAYTON
MO
63105
1
1
CEO
Common Stock
2020-05-29
5
J
0
E
557
24.96
A
52108
D
Common Stock
14238
I
401 (K) Plan
Common Stock
9270
D
Restricted Share Units
Common Stock
1052
1052
D
Restricted Share Units
Common Stock
1531
1531
D
Restricted Share Units
Common Stock
1982
1982
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, 2019 through May 31, 2020. 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 29, 2020.
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.
The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.
/s/James Brian Lally
2020-06-04