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ENTERPRISE FINANCIAL SERVICES CORP — Director's Dealing 2021
Mar 1, 2021
31623_dirs_2021-03-01_eed3f89c-0bac-4782-b763-6a8b3b04a629.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: 2021-02-25
Reporting Person: KEENE S TURNER (EVP, Chief Financial Officer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-25 | Restricted Share Units | $ | A | 1715 | Acquired | Common Stock (1715) | Direct | |
| 2021-02-25 | Non Qualified Stock Option (Right to Buy) | $43.81 | A | 9042 | Acquired | 2031-02-25 | Common Stock (9042) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 31410 | Direct |
| Common Stock | 2029 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Share Units | $ | Common Stock (670) | 670 | Direct | |
| Restricted Share Units | $ | Common Stock (940) | 940 | Direct | |
| Restricted Share Units | $ | Common Stock (1157) | 1157 | Direct |
Footnotes
F1: 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.
F2: 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.
F3: The RSU's vest 100% in the first quarter of 2024, subject to continued employment by the reporting person.
F4: This option becomes exercisable after a three year period on 2/25/24.
F5: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.
F6: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.
F7: The RSU's vest 50% on the first anniversary of the closing date of the merger with Trinity Capital Corporation and 50% on the second anniversary of the closing of the merger with Trinity Capital Corporation, subject to continued employment of the reporting person and other terms of the award agreement. On the vesting date, the reporting person will receive one share of Common Stock for each RSU.