Home > Insider Trading > Filing (0001127602-13-033142)

Filing Details

Accession Number:: 0001127602-13-033142
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-11-29 09:26:08
Reporting Period:: 2013-11-27

Filing Date:: 2013-11-29
Accepted Time:: 2013-11-29 09:26:08
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2013-11-27	3,000	$19.47	18,398	No	4	S	Indirect	By Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By Trust

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

Reported Derivative Holdings

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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

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.
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.
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.
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.
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.
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.