0001127602-17-014250.txt : 20170405
0001127602-17-014250.hdr.sgml : 20170405
20170405092630
ACCESSION NUMBER: 0001127602-17-014250
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170403
FILED AS OF DATE: 20170405
DATE AS OF CHANGE: 20170405
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: 17741264
MAIL ADDRESS:
STREET 1: 150 N. MERAMEC
CITY: CLAYTON
STATE: MO
ZIP: 63105
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2017-04-03
0001025835
ENTERPRISE FINANCIAL SERVICES CORP
EFSC
0001674404
LALLY JAMES BRIAN
150 N. MERAMEC
CLAYTON
MO
63105
1
President
Common Stock
2017-04-03
4
M
0
4245
25.63
A
33421
D
Common Stock
2017-04-03
4
F
0
3132
42.28
D
30289
D
Common Stock
11290
I
401 (K) Plan
Common Stock
9270
D
Stock Settled Stock Appreciation Rights
25.63
2017-04-03
4
M
0
4245
0
D
2007-12-15
2017-06-15
Common Stock
4245
0
D
Restricted Share Units
Common Stock
2021
2021
D
Restricted Share Units
Common Stock
556
556
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.
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.
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.
Vesting occurs on December 15, 2017, subject to continued employment of the reporting person. 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 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 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
2017-04-05