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ENTERPRISE FINANCIAL SERVICES CORP — Director's Dealing 2021
Jan 27, 2021
31623_dirs_2021-01-27_ac00b3cf-0689-4c62-8f2b-db170c72118a.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: 2021-01-25
Reporting Person: LALLY JAMES BRIAN (Director, CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-25 | Common Stock | M | 1052 | — | Acquired | 53160 | Direct |
| 2021-01-25 | Common Stock | F | 398 | $36.64 | Disposed | 52762 | Direct |
| 2021-01-25 | Common Stock | A | 4749 | — | Acquired | 57511 | Direct |
| 2021-01-25 | Common Stock | F | 1915 | $36.64 | Disposed | 55596 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-01-25 | Restricted Share Units | $ | M | 1052 | Disposed | Common Stock (1052) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 21533 | Indirect |
| Common Stock | 9270 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Share Units | $ | Common Stock (1531) | 1531 | Direct | |
| Restricted Share Units | $ | Common Stock (1982) | 1982 | 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: These shares are held jointly with spouse.
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 2021, subject to continued employment by the reporting person.
F7: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.
F8: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.