0001127602-21-030175.txt : 20211203 0001127602-21-030175.hdr.sgml : 20211203 20211203115826 ACCESSION NUMBER: 0001127602-21-030175 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211130 FILED AS OF DATE: 20211203 DATE AS OF CHANGE: 20211203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PONDER MARK G CENTRAL INDEX KEY: 0001550076 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15373 FILM NUMBER: 211469198 MAIL ADDRESS: STREET 1: 150 N. MERAMEC CITY: ST. LOUIS 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 2021-11-30 0001025835 ENTERPRISE FINANCIAL SERVICES CORP EFSC 0001550076 PONDER MARK G 150 N. MERAMEC CLAYTON MO 63105 1 EVP, Chief Admin. Officer Common Stock 2021-11-30 4 J 0 257 39.41 A 13314 D Common Stock 873 I 401(K) Plan Common Stock 200 I Self IRA Non Qualified Stock Option (Right to Buy) 43.81 2031-02-25 Common Stock 4521 4521 D Restricted Share Units Common Stock 390 390 D Restricted Share Units Common Stock 531 531 D Restricted Share Units Common Stock 857 857 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 June 1, 2021 through November 30, 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 November 30, 2021. 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. This option becomes exercisable after a three year period on 2/25/24. 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 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. The RSU's vest 100% in the first quarter of 2024, subject to continued employment by the reporting person. /s/ MARK G PONDER 2021-12-03