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