ENTERPRISE FINANCIAL SERVICES CORP — Director's Dealing 2021

Jan 27, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ENTERPRISE FINANCIAL SERVICES CORP (EFSC)
CIK: 0001025835
Period of Report: 2021-01-25

Reporting Person: KEENE S TURNER (EVP, Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-01-25	Common Stock	M	610	—	Acquired	30318	Direct
2021-01-25	Common Stock	F	302	$36.64	Disposed	30016	Direct
2021-01-25	Common Stock	A	2754	—	Acquired	32770	Direct
2021-01-25	Common Stock	F	1360	$36.64	Disposed	31410	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-01-25	Restricted Share Units	$	M	610	Disposed		Common Stock (610)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
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: Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

F2: The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.

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: 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.

F5: The RSU's vest 100% in the first quarter of 2021, subject to continued employment by the reporting person.

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 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.