James Brian Lally - Dec 31, 2022 Form 5 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
CEO, Director
Signature
/s/James Brian Lally
Stock symbol
EFSC
Transactions as of
Dec 31, 2022
Transactions value $
$0
Form type
5
Date filed
1/13/2023, 02:04 PM
Previous filing
Jun 7, 2022
Next filing
Feb 1, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding EFSC Common Stock 65.1K Dec 31, 2022 Direct
holding EFSC Common Stock 17.2K Dec 31, 2022 401 (K) Plan F1
holding EFSC Common Stock 4.11K Dec 31, 2022 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding EFSC Non Qualified Stock Option (Right to Buy) 17.6K Dec 31, 2022 Common Stock 17.6K $43.81 Direct F3
holding EFSC Non Qualified Stock Option (Right to Buy) 20.3K Dec 31, 2022 Common Stock 20.3K $48.34 Direct F4
holding EFSC Restricted Share Units 1.98K Dec 31, 2022 Common Stock 1.98K Direct F5, F6
holding EFSC Restricted Share Units 3.35K Dec 31, 2022 Common Stock 3.35K Direct F5, F7
holding EFSC Restricted Share Units 3.59K Dec 31, 2022 Common Stock 3.59K Direct F5, F8
holding EFSC Restricted Share Units 23.9K Dec 31, 2022 Common Stock 23.9K Direct F5, F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These securities are represented by units held in a unitized stock fund through the Company's 401(k) Plan. The unitized stock fund consists of cash and common stock in amounts that vary from time to time. The Reporting Person has 35,183 units in the 401(k) Plan, which units consisted of 17,203 shares of common stock.
F2 These shares are held jointly with spouse.
F3 This option becomes exercisable after a three year period on 2/25/24.
F4 This option becomes exercisable after a three year period on 2/24/25.
F5 The RSU's were granted pursuant to the Company's 2018 Stock Incentive Plan. Each RSU represents the right to receive one share of Common Stock, subject to adjustment as provided in the Grant Agreement.
F6 The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.
F7 The RSU's vest 100% in the first quarter of 2024, subject to continued employment by the reporting person.
F8 The RSU's vest 100% in the first quarter of 2025, subject to continued employment by the reporting person.
F9 The RSUs vest over six years in one-third installments on each of February 24, 2024, February 24, 2026, and February 24, 2028. Vesting is subject to continued employment of the reporting person. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.