0001127602-23-029033.txt : 20231207 0001127602-23-029033.hdr.sgml : 20231207 20231207144323 ACCESSION NUMBER: 0001127602-23-029033 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231130 FILED AS OF DATE: 20231207 DATE AS OF CHANGE: 20231207 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: 231472040 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 X0508 4 2023-11-30 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 2023-11-30 5 J 0 E 148 33.32 A 12985 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 June 1, 2023, through November 30, 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 November 30, 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 2023-12-07