0001127602-14-002433.txt : 20140122 0001127602-14-002433.hdr.sgml : 20140122 20140122114026 ACCESSION NUMBER: 0001127602-14-002433 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140122 DATE AS OF CHANGE: 20140122 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: SANFILIPPO FRANK H CENTRAL INDEX KEY: 0001096117 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15373 FILM NUMBER: 14539542 MAIL ADDRESS: STREET 1: 11901 OLIVE BOULEVARD CITY: ST LOUIS STATE: MO ZIP: 63141 5 1 form5.xml PRIMARY DOCUMENT X0306 5 2013-12-31 0 0 0001025835 ENTERPRISE FINANCIAL SERVICES CORP EFSC 0001096117 SANFILIPPO FRANK H 150 N. MERAMEC ST. LOUIS MO 63105 1 EVP & COO Common Stock 4502 D Common Stock 1936 I 401 (k) Plan Common Stock 22202 I By Trust Restricted Share Units Common Stock 10648 10648 D Stock Settled Stock Appreciation Rights 25.63 2007-12-15 2017-06-15 Common Stock 8843 8843 D Stock Settled Stock Appreciation Rights 20.63 2008-12-15 2018-06-13 Common Stock 5000 5000 D Stock Settled Stock Appreciation Rights 21.49 2009-09-24 2018-09-24 Common Stock 36000 36000 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 employment of the reporting person. Vesting occurs on September 24 of each year, commencing September 24, 2009. s/s Frank H. Sanfilippo 2014-01-22