Filing Details
- Accession Number:
- 0001127602-15-018463
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-05-26 09:14:08
- Reporting Period:
- 2015-05-22
- Filing Date:
- 2015-05-26
- Accepted Time:
- 2015-05-26 09:14:08
- 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 & Coo | 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 | 2015-05-22 | 1,200 | $21.52 | 26,022 | 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 | 5,809 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Share Units | $0.00 | 7,564 | 7,564 | 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 |
|---|---|---|---|
| 7,564 | 7,564 | 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 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.
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