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ENTERPRISE FINANCIAL SERVICES CORP — Director's Dealing 2021
Dec 3, 2021
31623_dirs_2021-12-03_26832c6d-c159-4f2b-898c-b5e5fdca675e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ENTERPRISE FINANCIAL SERVICES CORP (EFSC)
CIK: 0001025835
Period of Report: 2021-11-30
Reporting Person: BAUCHE DOUGLAS (Chief Credit Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-30 | Common Stock | J | 193 | $39.41 | Acquired | 8884 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3320 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Non Qualified Stock Option (Right to Buy) | $43.81 | 2031-02-25 | Common Stock (4730) | 4730 | Direct |
| Restricted Share Units | $ | Common Stock (453) | 453 | Direct | |
| Restricted Share Units | $ | Common Stock (557) | 557 | Direct | |
| Restricted Share Units | $ | Common Stock (897) | 897 | Direct |
Footnotes
F1: 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, 2021 through November 30, 2021. This transaction is exempt under Section 16b-3(c).
F2: 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, 2021.
F3: The reporting person holds units in the stock fund and the number of shares reported as indirectly held in the 401 (k) plan in this row is an estimate of the number of shares of the issuer's Common Stock held in the unitized stock fund and allocated to the reporting person's account.
F4: This option becomes exercisable after a three year period on 2/25/24.
F5: 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.
F6: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.
F7: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.
F8: The RSU's vest 100% in the first quarter of 2024, subject to continued employment by the reporting person.