Filing Details

Accession Number:
0001127602-15-034116
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-12-15 15:06:02
Reporting Period:
2015-12-15
Filing Date:
2015-12-15
Accepted Time:
2015-12-15 15:06:02
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
1195552 Peter Benoist 150 N. Meramec
St. Louis MO 63105
President & Ceo Yes 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 Acquisiton 2015-12-15 3,850 $22.73 87,496 No 4 M Direct
Common Stock Disposition 2015-12-15 3,850 $28.48 83,646 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Non Qualified Stock Option (Right to Buy) Disposition 2015-12-15 3,850 $0.00 3,850 $22.73
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2009-01-05 2016-01-05 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,175 Indirect 401 (k) Plan
Common Stock 153,028 Indirect By Trust
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Non Qualified Stock Option (Right to Buy) $30.17 2010-01-05 2017-01-05 2,900 2,900 Direct
Common Stock Non Qualified Stock Option (Right to Buy) $22.90 2011-01-05 2018-01-05 3,970 3,970 Direct
Common Stock Restricted Share Units $0.00 836 836 Direct
Common Stock Stock Settled Stock Appreciation Rights $25.63 2007-12-15 2017-06-15 16,508 16,508 Direct
Common Stock Stock Settled Stock Appreciation Rights $20.63 2008-12-15 2018-06-13 43,178 43,178 Direct
Common Stock Stock Settled Stock Appreciation Rights $21.49 2009-09-24 2018-09-24 50,000 50,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-01-05 2,900 2,900 Direct
2018-01-05 3,970 3,970 Direct
836 836 Direct
2017-06-15 16,508 16,508 Direct
2018-06-13 43,178 43,178 Direct
2018-09-24 50,000 50,000 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.43 to 28.55, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
  2. 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.
  3. Options vest 33% per year for three years
  4. 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.
  5. 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.
  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 employement of the reporting person. Vesting occurs on December 15 of each year, commencing December 15, 2007.
  7. 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.
  8. 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 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on September 24 of each year, commencing September 24, 2009.