0001127602-21-019163.txt : 20210604 0001127602-21-019163.hdr.sgml : 20210604 20210604100644 ACCESSION NUMBER: 0001127602-21-019163 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210531 FILED AS OF DATE: 20210604 DATE AS OF CHANGE: 20210604 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DUMLAO TROY CENTRAL INDEX KEY: 0001283697 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15373 FILM NUMBER: 21995256 MAIL ADDRESS: STREET 1: 821 17TH STREET STREET 2: C/O VOXWARE INC CITY: DENVER STATE: CO ZIP: 80229 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 2021-05-31 0001025835 ENTERPRISE FINANCIAL SERVICES CORP EFSC 0001283697 DUMLAO TROY 150 N. MERAMEC ST LOUIS MO 63105 1 SVP, Chief Accounting Officer Common Stock 2021-05-31 5 J 0 E 568 29.32 A 2520 D Non Qualified Stock Option (Right to Buy) 43.81 2031-02-25 Common Stock 1058 1058 D Restricted Share Units Common Stock 366 366 D Restricted Share Units Common Stock 737 737 D Restricted Share Units Common Stock 989 989 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, 2020 through May 31, 2021. 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 December 1, 2020. The Options vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on February 25, 2024 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 RSUs vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on April 1, 2022. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock. The RSUs vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on February 26, 2023. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock. The RSUs vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on February 25, 2024. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock. /s/ Troy Dumlao 2021-06-04