ENTERPRISE FINANCIAL SERVICES CORP 4
4 · ENTERPRISE FINANCIAL SERVICES CORP · Filed Dec 17, 2014
Insider Transaction Report
Form 4
SANFILIPPO FRANK H
EVP & CFO
Transactions
- Exercise/Conversion
Common Stock
2014-12-15+3,084→ 5,532 total - Exercise/Conversion
Restricted Share Units
2014-12-15−3,084→ 7,564 total→ Common Stock (3,084 underlying) - Tax Payment
Common Stock
2014-12-15$18.90/sh−1,030$19,467→ 4,502 total
Holdings
- 1,936(indirect: 401 (k) Plan)
Common Stock
- 25,423(indirect: By Trust)
Common Stock
- 36,000
Stock Settled Stock Appreciation Rights
Exercise: $21.49From: 2009-09-24Exp: 2018-09-24→ Common Stock (36,000 underlying) - 8,843
Stock Settled Stock Appreciation Rights
Exercise: $25.63From: 2007-12-15Exp: 2017-06-15→ Common Stock (8,843 underlying) - 5,000
Stock Settled Stock Appreciation Rights
Exercise: $20.63From: 2008-12-15Exp: 2018-06-13→ Common Stock (5,000 underlying)
Footnotes (6)
- [F1]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.
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]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.
- [F6]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.