0001127602-13-015844.txt : 20130507
0001127602-13-015844.hdr.sgml : 20130507
20130507091234
ACCESSION NUMBER: 0001127602-13-015844
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130506
FILED AS OF DATE: 20130507
DATE AS OF CHANGE: 20130507
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Murtha Mark G
CENTRAL INDEX KEY: 0001516594
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15373
FILM NUMBER: 13818154
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
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2013-05-06
0001025835
ENTERPRISE FINANCIAL SERVICES CORP
EFSC
0001516594
Murtha Mark G
150 N. MERAMEC
ST. LOUIS
MO
63105
1
Sr. Vice President - HR
Common Stock
2013-05-06
4
M
0
5149
13.40
A
16803
D
Common Stock
2013-05-06
4
S
0
5149
14.29
D
11654
D
Common Stock
918
I
401(k) Plan
Non Qualified Stock Option (Right to Buy)
13.40
2013-05-06
4
M
0
5149
0
D
2003-05-13
2013-05-13
Common Stock
5149
0
D
Restricted Share Units
Common Stock
4434
4434
D
Stock Settled Stock Appreciation Rights
25.63
2007-12-15
2017-06-15
Common Stock
4363
4363
D
Stock Settled Stock Appreciation Rights
20.63
2008-12-15
2018-06-13
Common Stock
7010
7010
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.
/s/ Mark G. Murtha
2013-05-07