Nicole M. Iannacone - Jan 30, 2023 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
EVP, Chief Legal Officer
Signature
/s/ Nicole M. Iannacone
Stock symbol
EFSC
Transactions as of
Jan 30, 2023
Transactions value $
-$81,513
Form type
4
Date filed
2/1/2023, 04:34 PM
Previous filing
Jun 7, 2022
Next filing
Mar 2, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EFSC Common Stock Options Exercise $0 +540 +9.06% $0.00 6.5K Jan 30, 2023 Direct
transaction EFSC Common Stock Tax liability -$13K -250 -3.84% $51.82 6.25K Jan 30, 2023 Direct F1
transaction EFSC Common Stock Award $0 +2.84K +45.39% $0.00 9.09K Jan 30, 2023 Direct F2
transaction EFSC Common Stock Tax liability -$68.6K -1.32K -14.55% $51.82 7.77K Jan 30, 2023 Direct F1

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
transaction EFSC Restricted Share Units Options Exercise $0 -540 -100% $0.00* 0 Jan 30, 2023 Common Stock 540 Direct F5, F8
holding EFSC Non Qualified Stock Option (Right to Buy) 4.52K Jan 30, 2023 Common Stock 4.52K $43.81 Direct F3
holding EFSC Non Qualified Stock Option (Right to Buy) 4.95K Jan 30, 2023 Common Stock 4.95K $48.34 Direct F4
holding EFSC Restricted Share Units 857 Jan 30, 2023 Common Stock 857 Direct F5, F6
holding EFSC Restricted Share Units 874 Jan 30, 2023 Common Stock 874 Direct F5, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Withholding of stock to satisfy tax withholding obligation on issuance of common stock.
F2 The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.
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 2024, subject to continued employment by the reporting person.
F7 The RSU's vest 100% in the first quarter of 2025, subject to continued employment by the reporting person.
F8 The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.