0001127602-13-034745.txt : 20131217
0001127602-13-034745.hdr.sgml : 20131217
20131217093357
ACCESSION NUMBER: 0001127602-13-034745
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131213
FILED AS OF DATE: 20131217
DATE AS OF CHANGE: 20131217
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
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: 131280601
MAIL ADDRESS:
STREET 1: 150 NORTH MERAMEC
CITY: CLAYTON
STATE: MO
ZIP: 63105
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2013-12-13
0001025835
ENTERPRISE FINANCIAL SERVICES CORP
EFSC
0001195552
BENOIST PETER
150 N. MERAMEC
ST. LOUIS
MO
63105
1
1
President & CEO
Common Stock
2013-08-09
5
G
0
E
10000
0
D
153028
I
By Trust
Common Stock
2013-12-13
4
M
0
278
0
A
51484
D
Common Stock
2013-12-13
4
F
0
93
19.09
D
51391
D
Common Stock
1175
I
401 (k) Plan
Restricted Share Units
2013-12-13
4
M
0
278
0
D
Common Stock
278
1114
D
Non Qualified Stock Option (Right to Buy)
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 (Right to Buy)
22.90
2011-01-05
2018-01-05
Common Stock
3970
3970
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
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.
Options vest 33% per year for three years
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.
/s/ Peter Benoist
2013-12-17