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