Initial Statement of Beneficial Ownership (3)
2023年5月12日 - 11:07PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Huffman Bridget |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/11/2023
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3. Issuer Name and Ticker or Trading Symbol
ENTERPRISE FINANCIAL SERVICES CORP [EFSC]
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(Last)
(First)
(Middle)
150 N. MERAMEC |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SEVP, Chief Risk Officer / |
(Street)
CLAYTON, MO 63105
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 4193 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Non Qualified Stock Option (Right to Buy) | (1) | 2/25/2031 | Common Stock | 816 | $43.81 | D | |
Non Qualified Stock Option (Right to Buy) | (2) | 2/24/2032 | Common Stock | 737 | $48.34 | D | |
Non Qualified Stock Option (Right to Buy) | (3) | 2/28/2033 | Common Stock | 1668 | $54.46 | D | |
Restricted Share Units | (4) | (4) | Common Stock | 254 | (5) | D | |
Restricted Share Units | (6) | (6) | Common Stock | 426 | (5) | D | |
Restricted Share Units | (7) | (7) | Common Stock | 341 | (5) | D | |
Restricted Share Units | (8) | (8) | Common Stock | 1142 | (5) | D | |
Explanation of Responses: |
(1) | The Options vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on February 25, 2024 |
(2) | The Options vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on February 24, 2025. |
(3) | The option becomes exercisable after a three year period on 2/28/26. |
(4) | The RSUs vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on February 25, 2024. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock. |
(5) | 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. |
(6) | The RSUs vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on February 24, 2025. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock. |
(7) | The RSU vest 100% in the first quarter of 2026, subject to continued employment by the reporting person. |
(8) | The RSUs vest at a rate of 33% annually over three years, subject to continued employment of the reporting person. Vesting occurs on the anniversary date of the grant each year, with final vest occurring on April 14, 2026. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Huffman Bridget 150 N. MERAMEC CLAYTON, MO 63105 |
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| SEVP, Chief Risk Officer |
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Signatures
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/s/ Bridget Huffman | | 5/12/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Enterprise Financial Ser... (NASDAQ:EFSC)
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Enterprise Financial Ser... (NASDAQ:EFSC)
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から 12 2023 まで 12 2024