Filing Details

Accession Number:
0001127602-13-031633
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-14 14:36:35
Reporting Period:
2013-11-13
Filing Date:
2013-11-14
Accepted Time:
2013-11-14 14:36:35
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1025835 Enterprise Financial Services Corp EFSC State Commercial Banks (6022) 431706259
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1454515 Richard Scott Goodman 150 N. Meramec
St. Louis MO 63105
President, St. Louis Region No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2013-11-13 3,400 $18.35 27,434 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,296 Indirect 401(k) Plan
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Settled Stock Appreciation Rights $25.63 2007-12-15 2017-06-15 5,753 5,753 Direct
Common Stock Stock Settled Stock Appreciation Rights $20.63 2008-12-15 2018-06-13 7,500 7,500 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-06-15 5,753 5,753 Direct
2018-06-13 7,500 7,500 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.35 to $18.48, 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.
  2. 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.
  3. 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.
  4. 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.