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
- 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.
- 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.
- Options vest 33% per year for three years
- 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 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.
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