0001127602-23-018118.txt : 20230607
0001127602-23-018118.hdr.sgml : 20230607
20230607151022
ACCESSION NUMBER: 0001127602-23-018118
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230531
FILED AS OF DATE: 20230607
DATE AS OF CHANGE: 20230607
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BAUCHE DOUGLAS
CENTRAL INDEX KEY: 0001682456
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15373
FILM NUMBER: 23998786
MAIL ADDRESS:
STREET 1: 150 N MERMEC
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
X0407
4
2023-05-31
0001025835
ENTERPRISE FINANCIAL SERVICES CORP
EFSC
0001682456
BAUCHE DOUGLAS
150 N. MERAMEC
CLAYTON
MO
63105
1
SEVP, Chief Credit Officer
0
Common Stock
2693
I
401(K) Plan
Common Stock
2023-05-31
5
J
0
E
525
34.53
A
12837
D
Non Qualified Stock Option (Right to Buy)
43.81
2031-02-25
Common Stock
4730
4730
D
Non Qualified Stock Option (Right to Buy)
48.34
2032-02-24
Common Stock
5081
5081
D
Non Qualified Stock Option (Right to Buy)
54.46
2033-02-28
Common Stock
5105
5105
D
Restricted Share Units
Common Stock
897
897
D
Restricted Share Units
Common Stock
898
898
D
Restricted Share Units
Common Stock
1043
1043
D
Restricted Share Units
Common Stock
9978
9978
D
These securities are represented by units held in a unitized stock fund through the Company's 401(k) Plan. The unitized stock fund consists of cash and common stock in amounts that vary from time to time. The Reporting Person has 5,508 units in the 401(k) Plan, which units consisted of 2,693 shares of common stock.
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, 2022 through May 31, 2023. 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 31, 2023.
This option becomes exercisable after a three year period on 2/25/24.
This option becomes exercisable after a three year period on 2/24/25.
The option becomes exercisable after a three year period on 2/28/26.
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 2024, subject to continued employment by the reporting person.
The RSU's vest 100% in the first quarter of 2025, subject to continued employment by the reporting person.
The RSU vest 100% in the first quarter of 2026, subject to continued employment by the reporting person.
The RSUs vest over six years in one-third installments on each of February 24, 2024, February 24, 2026, and February 24, 2028. Vesting is subject to continued employment of the reporting person. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
/s/ Douglas Bauche
2023-06-07