0001127602-16-070338.txt : 20161219 0001127602-16-070338.hdr.sgml : 20161219 20161219092514 ACCESSION NUMBER: 0001127602-16-070338 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161215 FILED AS OF DATE: 20161219 DATE AS OF CHANGE: 20161219 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: LALLY JAMES BRIAN CENTRAL INDEX KEY: 0001674404 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15373 FILM NUMBER: 162057893 MAIL ADDRESS: STREET 1: 150 N. MERAMEC CITY: CLAYTON STATE: MO ZIP: 63105 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-12-15 0001025835 ENTERPRISE FINANCIAL SERVICES CORP EFSC 0001674404 LALLY JAMES BRIAN 150 N. MERAMEC CLAYTON MO 63105 1 Executive Vice President Common Stock 2016-12-15 4 M 0 555 0 A 22807 D Common Stock 2016-12-15 4 F 0 186 40.90 D 22621 D Common Stock 11274 I 401 (K) Plan Common Stock 9270 D Restricted Share Units 2016-12-15 4 M 0 555 0 D Common Stock 555 556 D Restricted Share Units Common Stock 2021 2021 D Stock Settled Stock Appreciation Rights 25.63 2007-12-15 2017-06-15 Common Stock 4245 4245 D Stock Settled Stock Appreciation Rights 20.63 2008-12-15 2018-06-13 Common Stock 5188 5188 D Stock Settled Stock Appreciation Rights 10.14 2011-08-02 2020-08-02 Common Stock 15000 15000 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. These shares are held jointly with spouse. 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. The RSUs were granted pursuant to the Company's 2013 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 100% on January 2, 2017, subject to continued employment of the reporting person. 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 August 2, of each year, commencing August 2, 2011. /s/James Brian Lally 2016-12-19