LALLY JAMES BRIAN 4

4 · ENTERPRISE FINANCIAL SERVICES CORP · Filed Mar 6, 2026

AI-generated summary of this filing

Updated Mar 7, 2026

Enterprise Financial (EFSC) CEO James Lally Receives Award of 6,344 Units

What Happened

James B. Lally, CEO and Director of Enterprise Financial Services Corp. (EFSC), recorded an acquisition on 2026-03-04 of 6,344 derivative units reported at $0.00 each (total reported value $0). The filing classifies this as an award/acquisition (Form 4 code A) and the units are derivative interests rather than an open-market purchase of common stock.
Footnote in the filing indicates these securities are represented by units held in a unitized stock fund through the company’s 401(k) plan, where the fund consists of varying amounts of cash and common stock.

Key Details

Transaction date: 2026-03-04; Form 4 filed: 2026-03-06 (filed within the typical two-business-day window).
Security: derivative units in a unitized stock fund (reported as 6,344 units at $0.00 each).
Shares owned after transaction: not disclosed in the provided excerpt.
Relevant footnote: F1 — units are held in the Company’s 401(k) unitized stock fund (composition of cash vs. stock varies over time).
Other footnotes in the filing (F3–F9) relate to vested/unvested options and RSUs and do not appear to describe this particular 401(k) allocation.

Context

This was an allocation into a 401(k) unitized stock fund (not an open-market buy or sale, and not an option exercise). Such plan allocations are often payroll or plan-directed and typically do not indicate a trading view by the insider. The filing appears timely and routine based on the provided dates.

Form 4

Period: 2026-03-04

DirectorCEO

Transactions

Award
Restricted Share Units
[F5][F9]
2026-03-04+6,344→ 6,344 total
→ Common Stock (6,344 underlying)

Holdings

Common Stock
115,696
Common Stock
[F1]
(indirect: 401 (K) Plan)
19,570
Common Stock
[F2]
4,107
Non Qualified Stock Option (Right to Buy)
Exercise: $43.81From: 2024-02-06Exp: 2031-02-25→ Common Stock (17,637 underlying)
17,637
Non Qualified Stock Option (Right to Buy)
Exercise: $48.34From: 2025-02-03Exp: 2032-02-24→ Common Stock (20,325 underlying)
20,325
Non Qualified Stock Option (Right to Buy)
Exercise: $54.46From: 2026-02-10Exp: 2033-02-28→ Common Stock (20,438 underlying)
20,438
Non Qualified Stock Option (Right to Buy)
[F3]
Exercise: $39.50Exp: 2034-02-28→ Common Stock (30,661 underlying)
30,661
Non Qualified Stock Option (Right to Buy)
[F4]
Exercise: $57.17Exp: 2035-03-04→ Common Stock (16,144 underlying)
16,144
Restricted Share Units
[F5][F6]
→ Common Stock (5,857 underlying)
5,857
Restricted Share Units
[F5][F7]
→ Common Stock (5,398 underlying)
5,398
Restricted Share Units
[F5][F8]
→ Common Stock (7,982 underlying)
7,982

Footnotes (9)

[F1]These securities are represented by units held in a unitized stock fund through the Company's 401(k) Plan. The unitized stock fund consists of cash and common stock in amounts that vary from time to time.
[F2]These shares are held jointly with spouse.
[F3]This option becomes exercisable in the first quarter of 2027, subject to continued employment by the reporting person.
[F4]The option becomes exercisable in the first quarter of 2028, subject to continued employment by the reporting person.
[F5]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.
[F6]The RSU's vest 100% in the first quarter of 2027, subject to continued employment by the reporting person.
[F7]The RSU's vest 100% in the first quarter of 2028, subject to continued employment by the reporting person.
[F8]The RSUs vest over six years in one-third installments on each of February 24, 2024, February 24, 2026, and February 24, 2028. Vesting is 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.
[F9]The RSU's vest 100% in the first quarter of 2029, subject to continued employment by the reporting person.

Signature

/s/James Brian Lally|2026-03-06

1 file