0001127602-18-023463.txt : 20180718 0001127602-18-023463.hdr.sgml : 20180718 20180718105700 ACCESSION NUMBER: 0001127602-18-023463 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180716 FILED AS OF DATE: 20180718 DATE AS OF CHANGE: 20180718 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goodman Scott Richard CENTRAL INDEX KEY: 0001454515 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15373 FILM NUMBER: 18957897 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 2018-07-16 0001025835 ENTERPRISE FINANCIAL SERVICES CORP EFSC 0001454515 Goodman Scott Richard 150 N. MERAMEC CLAYTON MO 63105 1 President Common Stock 2018-07-16 4 S 0 1200 54.23 D 41713 D Common Stock 4329 I 401(k) Plan Restricted Share Units Common Stock 10457 10457 D Restricted Share Units Common Stock 560 560 D This transaction is pursuant to a 10b5-1 plan. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.20 to $54.25, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. 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 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 cliff vest on the two year anniversary date of the grant, subject to continued employment of the reporting person. On the vesting date, the reporting person will receive one share of Common Stock for each RSU. The RSU's were granted pursuant to the Company's 2018 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 RSU's vest 100% in the first quarter of 2021, subject to continued employment by the reporting person. /s/ Scott Richard Goodman 2018-07-18