-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Jzjx3XeGkyzybsTcWxel4plf5lTXogAJkOiVDtp97/mYjqodRWiroWuzYoyioYko AU4cktK8NheUGSQT93E/jA== 0001025835-11-000073.txt : 20110124 0001025835-11-000073.hdr.sgml : 20110124 20110124120202 ACCESSION NUMBER: 0001025835-11-000073 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110121 FILED AS OF DATE: 20110124 DATE AS OF CHANGE: 20110124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BENOIST PETER CENTRAL INDEX KEY: 0001195552 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15373 FILM NUMBER: 11543027 MAIL ADDRESS: STREET 1: 150 NORTH MERAMEC CITY: CLAYTON STATE: MO ZIP: 63105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ENTERPRISE FINANCIAL SERVICES CORP CENTRAL INDEX KEY: 0001025835 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 431706259 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 150 NORTH MERAMEC STREET 2: 150 NORTH MERAMEC CITY: CLAYTON STATE: MO ZIP: 63105 BUSINESS PHONE: 3147255500 MAIL ADDRESS: STREET 1: 150 NORTH MERAMEC STREET 2: 150 NORTH MERAMEC CITY: CLAYTON STATE: MO ZIP: 63105 FORMER COMPANY: FORMER CONFORMED NAME: ENTERBANK HOLDINGS INC DATE OF NAME CHANGE: 19961024 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2011-01-21 0001025835 ENTERPRISE FINANCIAL SERVICES CORP EFSC 0001195552 BENOIST PETER 150 N. MERAMEC ST. LOUIS MO 63105 1 1 0 0 President & CEO Common Stock 140460 D Common Stock 2011-01-21 4 A 0 4931 0 A 37147 D Common Stock 2011-01-21 4 F 0 1807 11.55 D 35340 D Common Stock 1377 I 401 (k) Plan Incentive Stock Option (right to buy) 10.25 2001-10-01 2012-10-01 Common Stock 50000 50000 D Non-Qualified Stock Option (right to buy) 13.40 2004-10-01 2013-05-13 Common Stock 37313 37313 D Non-Qualified Stock Option 22.73 2009-01-05 2016-01-05 Common Stock 3850 3850 D Non-Qualified Stock Option (right to buy) 30.17 2010-01-05 2017-01-05 Common Stock 2900 2900 D Non-Qualified Stock Option (righ to buy) 22.90 2011-01-05 2018-01-05 Common Stock 3970 3970 D Restricted Share Units Common Stock 1322 1322 D Stock Settled Stock Appreciation Rights 25.63 2007-12-15 2017-06-15 Common Stock 16508 16508 D Stock Settled Stock Appreciation Rights 20.63 2008-12-15 2018-06-13 Common Stock 43178 43178 D Stock Settled Stock Appreciation Rights 21.49 2009-09-24 2018-09-24 Common Stock 50000 50000 D These shares are held jointly with spouse. The shares of restricted stock were initially awarded on January 21, 2011 and will vest 100% upon the earliest to occur of (i) the second anniversary of the award (subject to continuous employment of the reporting person), (ii) the death of the reporting person, (iii) the reporting person becoming disabled or (iv) certain change in control events. The shares of restricted stock were awarded pursuant to the Company's 2002 Stock Incentive Plan. Withholding of stock to satisfy tax withholding obligation on issuance of salary stock. 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. Effective 10/01/2004 the Board fully vested the oustanding employee and Director stock options. Options vest 33% per year for three years Each RSU represents the right to recieve 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. Peter F. Benoist 2011-01-24 -----END PRIVACY-ENHANCED MESSAGE-----