0001127602-24-001708.txt : 20240119 0001127602-24-001708.hdr.sgml : 20240119 20240119141853 ACCESSION NUMBER: 0001127602-24-001708 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240119 DATE AS OF CHANGE: 20240119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LALLY JAMES BRIAN CENTRAL INDEX KEY: 0001674404 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15373 FILM NUMBER: 24545080 MAIL ADDRESS: STREET 1: 150 N. MERAMEC 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] ORGANIZATION NAME: 02 Finance 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 5 1 form5.xml PRIMARY DOCUMENT X0508 5 2023-12-31 0 0 0001025835 ENTERPRISE FINANCIAL SERVICES CORP EFSC 0001674404 LALLY JAMES BRIAN 150 N. MERAMEC CLAYTON MO 63105 1 1 CEO 0 Common Stock 73237 D Common Stock 18028 I 401 (K) Plan Common Stock 4107 D Non Qualified Stock Option (Right to Buy) 43.81 2031-02-25 Common Stock 17637 17637 D Non Qualified Stock Option (Right to Buy) 54.46 2033-02-28 Common Stock 20438 20438 D Non Qualified Stock Option (Right to Buy) 48.34 2032-02-24 Common Stock 20325 20325 D Restricted Share Units Common Stock 3345 3345 D Restricted Share Units Common Stock 3592 3592 D Restricted Share Units Common Stock 4176 4176 D Restricted Share Units Common Stock 23947 23947 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 35,183 units in the 401(k) Plan, which units consisted of 17,203 shares of common stock. These shares are held jointly with spouse. This option becomes exercisable after a three year period on 2/25/24. The option becomes exercisable after a three year period on 2/28/26. This option becomes exercisable after a three year period on 2/24/25. 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/James Brian Lally 2024-01-19