Filing Details

Accession Number:
0001127602-13-018878
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-05-31 16:39:06
Reporting Period:
2013-05-30
Filing Date:
2013-05-31
Accepted Time:
2013-05-31 16:39:06
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1025835 Enterprise Financial Services Corp EFSC State Commercial Banks (6022) 431706259
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1096117 H Frank Sanfilippo 150 N. Meramec
St. Louis MO 63105
Evp & Cfo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2013-05-30 652 $15.25 5,708 No 4 S Indirect Ira
Common Stock Disposition 2013-05-30 4,400 $15.28 1,308 No 4 S Indirect Ira
Common Stock Disposition 2013-05-30 500 $15.29 808 No 4 S Indirect Ira
Common Stock Disposition 2013-05-30 7 $15.31 801 No 4 S Indirect Ira
Common Stock Disposition 2013-05-30 100 $15.32 701 No 4 S Indirect Ira
Common Stock Disposition 2013-05-30 400 $15.33 301 No 4 S Indirect Ira
Common Stock Disposition 2013-05-30 300 $15.34 1 No 4 S Indirect Ira
Common Stock Disposition 2013-05-30 1 $15.39 0 No 4 S Indirect Ira
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect Ira
No 4 S Indirect Ira
No 4 S Indirect Ira
No 4 S Indirect Ira
No 4 S Indirect Ira
No 4 S Indirect Ira
No 4 S Indirect Ira
No 4 S Indirect Ira
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 6,252 Direct
Common Stock 1,935 Indirect 401 (k) Plan
Common Stock 21,398 Indirect By Trust
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Restricted Share Units $0.00 13,732 13,732 Direct
Common Stock Stock Settled Stock Appreciation Rights $25.63 2007-12-15 2017-06-15 8,843 8,843 Direct
Common Stock Stock Settled Stock Appreciation Rights $20.63 2008-12-15 2018-06-13 5,000 5,000 Direct
Common Stock Stock Settled Stock Appreciation Rights $21.49 2009-09-24 2018-09-24 36,000 36,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
13,732 13,732 Direct
2017-06-15 8,843 8,843 Direct
2018-06-13 5,000 5,000 Direct
2018-09-24 36,000 36,000 Direct
Footnotes
  1. 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.
  2. The RSUs were granted pursuant to the Company's 2002 Stock Incentive Plan. Each RSU represents the right to receive one share of Common Stock, subject to adjustment as provided in the Grant Agreement.
  3. The RSUs vest at a rate of 20% annually over five years, subject to continued employment of the reporting person. Vesting occurs on December 15 of each year, commencing in the calendar year of the grant. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
  4. Each SSAR consists of the right to receive an amount, in common stock, equal to the excess of the fair market value of a share of common stock on the date of exercise over the exercise price of the SSAR. The SSARs vest at a rate of 20% annually over five years, subject to continued employement of the reporting person. Vesting occurs on December 15 of each year, commencing December 15, 2007.
  5. Each SSAR consists of the right to receive an amount, in common stock, equal to the excess of the fair market value of a share of common stock on the date of exercise over the exercise price of the SSAR. The SSARs vest at a rate of 20% annually over five years, subject to continued employment of the reporting person. Vesting occurs on December 15 of each year, commencing December 15, 2008.
  6. Each SSAR consists of the right to receive an amount, in common stock, equal to the excess of the fair market value of a share of common stock on the date of exercise over the exercise price of the SSAR. The SSARs vest at a rate of 20% annually over five years, subject to continued employment of the reporting person. Vesting occurs on September 24 of each year, commencing September 24, 2009.