0001127602-22-027028.txt : 20221207
0001127602-22-027028.hdr.sgml : 20221207
20221207154430
ACCESSION NUMBER: 0001127602-22-027028
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221130
FILED AS OF DATE: 20221207
DATE AS OF CHANGE: 20221207
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: 221450177
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
2022-11-30
0001025835
ENTERPRISE FINANCIAL SERVICES CORP
EFSC
0001283697
DUMLAO TROY
150 N. MERAMEC
ST LOUIS
MO
63105
1
SVP, Chief Accounting Officer
Common Stock
2022-11-30
5
J
0
E
99
38.90
A
3920
D
Depository Shares
400
D
Non Qualified Stock Option (Right to Buy)
43.81
2031-02-25
Common Stock
1058
1058
D
Non Qualified Stock Option (Right to Buy)
48.34
2032-02-24
Common Stock
1266
1266
D
Restricted Share Units
Common Stock
368
368
D
Restricted Share Units
Common Stock
659
659
D
Restricted Share Units
Common Stock
733
733
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, 2022 through November 30, 2022. 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, 2022.
1. Each Depositary Share represents a 1/40th interest in a share of the Issuer's 5.00% Series A Fixed-Rate Non-Cumulative Perpetual Preferred Stock. Depositary Shares were purchased in an underwritten public offering.
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 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 24, 2025. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
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 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.
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 24, 2025. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
/s/ Troy Dumlao
2022-12-07