4//SEC Filing
ENTERPRISE FINANCIAL SERVICES CORP 4
Accession 0001127602-17-015006
$EFSCCIK 0001025835operating
Filed
Apr 18, 8:00 PM ET
Accepted
Apr 19, 10:33 AM ET
Size
27.0 KB
Accession
0001127602-17-015006
Insider Transaction Report
Form 4
BENOIST PETER
Chairman
Transactions
- Tax Payment
Common Stock
2017-04-17$40.40/sh−29,096$1,175,478→ 48,293 total - Exercise/Conversion
Non Qualified Stock Option (Right to Buy)
2017-04-17−3,970→ 0 totalExercise: $22.90From: 2011-01-05Exp: 2018-01-05→ Common Stock (3,970 underlying) - Exercise/Conversion
Stock Settled Stock Appreciation Rights
2017-04-17−43,178→ 0 totalExercise: $20.63From: 2008-12-15Exp: 2018-06-13→ Common Stock (43,178 underlying) - Tax Payment
Common Stock
2017-04-17$40.40/sh−12,486$504,434→ 34,211 total - Exercise/Conversion
Common Stock
2017-04-17$20.63/sh+43,178$890,762→ 77,389 total - Tax Payment
Common Stock
2017-04-17$40.40/sh−34,628$1,398,971→ 63,665 total - Exercise/Conversion
Stock Settled Stock Appreciation Rights
2017-04-17−16,508→ 0 totalExercise: $25.63From: 2007-12-15Exp: 2017-06-15→ Common Stock (16,508 underlying) - Exercise/Conversion
Common Stock
2017-04-17$22.90/sh+3,970$90,913→ 30,189 total - Exercise/Conversion
Common Stock
2017-04-17$21.49/sh+50,000$1,074,500→ 98,293 total - Exercise/Conversion
Stock Settled Stock Appreciation Rights
2017-04-17−50,000→ 0 totalExercise: $21.49From: 2009-09-24Exp: 2018-09-24→ Common Stock (50,000 underlying) - Exercise/Conversion
Common Stock
2017-04-17$25.63/sh+16,508$423,100→ 46,697 total
Holdings
- 152,045(indirect: By Trust)
Common Stock
- 1,184(indirect: 401 (k) Plan)
Common Stock
- 24,272(indirect: By Trust)
Common Stock
- 280
Restricted Share Units
→ Common Stock (280 underlying)
Footnotes (7)
- [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]Options vest 33% per year for three years
- [F3]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.
- [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 employment of the reporting person. Vesting occurs on December 15 of each year, commencing December 15, 2008.
- [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 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on September 24 of each year, commencing September 24, 2009.
- [F6]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.
- [F7]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.
Documents
Issuer
ENTERPRISE FINANCIAL SERVICES CORP
CIK 0001025835
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001025835
Filing Metadata
- Form type
- 4
- Filed
- Apr 18, 8:00 PM ET
- Accepted
- Apr 19, 10:33 AM ET
- Size
- 27.0 KB