0001127602-12-001663.txt : 20120113
0001127602-12-001663.hdr.sgml : 20120113
20120113104233
ACCESSION NUMBER: 0001127602-12-001663
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120113
DATE AS OF CHANGE: 20120113
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Goodman Scott Richard
CENTRAL INDEX KEY: 0001454515
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15373
FILM NUMBER: 12525517
MAIL ADDRESS:
STREET 1: 150 N. MERAMEC
CITY: ST. LOUIS
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
5
1
form5.xml
PRIMARY DOCUMENT
X0304
5
2011-12-31
0
0
0001025835
ENTERPRISE FINANCIAL SERVICES CORP
EFSC
0001454515
Goodman Scott Richard
150 N. MERAMEC
ST. LOUIS
MO
63105
1
President, St. Louis Region
Common Stock
16217
D
Common Stock
5106
I
401(k) Plan
Incentive Stock Option (Right to Buy)
13.40
2008-04-07
2013-04-07
Common Stock
7462
7462
D
Non Qualified Stock Option (Right to Buy)
13.40
2008-04-07
2013-04-07
Common Stock
7538
7538
D
Restricted Share Units
0
Common Stock
209
209
D
Stock Settled Stock Appreciation Rights
25.63
2007-12-15
2017-06-15
Common Stock
5753
5753
D
Stock Settled Stock Appreciation Rights
20.63
2008-12-15
2018-06-13
Common Stock
7500
7500
D
Stock Settled Stock Appreciation Rights
10.14
2011-08-02
2020-08-02
Common Stock
20000
20000
D
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.
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 20% annually over five years, subject to continued employement of the reporting person. Vesting occurs on August 2, of each year, commencing August 2, 2011.
/s/ Scott Richard Goodman
2012-01-13