What stock options related to EFSC common stock does Troy Dumlao still hold?

He holds several non-qualified stock option awards over Enterprise Financial Services Corp common stock. These options have exercise prices including $43.81, $48.34, $54.46, $39.50 and $57.17 per share, with expiration dates ranging from 2031 through 2035, representing meaningful remaining derivative exposure.

What unvested Restricted Share Units does Troy Dumlao have under EFSC’s equity plan?

He holds multiple RSU awards granted under the company’s 2018 Stock Incentive Plan. Footnotes state certain RSUs vest 100% in the first quarters of 2027, 2028, and 2029, while another grant vests 33% annually, with final vesting occurring on April 14, 2026, subject to continued employment.

Enterprise Financial officer exercises RSUs, pays tax

Enterprise Financial Services Corp EVP and Chief Accounting Officer Troy Dumlao exercised 380 Restricted Share Units into the same number of shares of common stock.

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)How Sentiment works

Sentiment and the balance of points

Rhea-AI Sentiment reads the wording of the document, how positive or negative its language is on a 1 to 5 scale. The balance of points shown with the takes weighs what the document actually discloses, so the two can disagree, for example when a trial that missed its main goal is described in upbeat language.

How Sentiment works How the balance works

Form Type

Rhea-AI Filing Summary

Enterprise Financial Services Corp EVP and Chief Accounting Officer Troy Dumlao exercised 380 Restricted Share Units into the same number of shares of common stock. To cover taxes, 168 shares of common stock were withheld at $58.30 per share, leaving him with 8,473 directly owned common shares. He also continues to hold several non-qualified stock option grants with exercise prices between the low $40s and high $50s per share and multiple unvested RSU awards scheduled to vest between the first quarters of 2027 and 2029, along with 400 Depositary Shares representing interests in 5.00% Series A preferred stock.

Insider Trade Summary

380 shares exercised/converted

Exercise 12 txns

Insider DUMLAO TROY

Role EVP, Chief Accounting Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Share Units	380	$0.00	$0.00
Exercise	Common Stock	380	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	168	$58.30	$10K
holding	Non Qualified Stock Option (Right to Buy)	--	--	--
holding	Non Qualified Stock Option (Right to Buy)	--	--	--
holding	Non Qualified Stock Option (Right to Buy)	--	--	--
holding	Non Qualified Stock Option (Right to Buy)	--	--	--
holding	Non Qualified Stock Option (Right to Buy)	--	--	--
holding	Restricted Share Units	--	--	--
holding	Restricted Share Units	--	--	--
holding	Restricted Share Units	--	--	--
holding	Depository Shares	--	--	--

Holdings After Transaction: Restricted Share Units — 1,998 contracts (Direct); Common Stock — 8,473 shares (Direct); Non Qualified Stock Option (Right to Buy) — 8,734 contracts (Direct); Depository Shares — 400 shares (Direct)

Footnotes (9)

F1. Withholding of stock to satisfy tax withholding obligation on issuance of common stock.
F2. Each Depositary Share represents a 1/40th interest in a share of the Issuer's 5.00% Series A Fixed-Rate Non-Cumulative Perpetual Preferred Stock. Depositary Shares were purchased in an underwritten public offering.
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 RSU's vest 100% in the first quarter of 2029, subject to continued employment by the reporting person.
F9. 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.

Key Figures

RSUs exercised: 380 units Shares withheld for taxes: 168 shares at $58.30 Common shares after transaction: 8,473 shares +5 more

8 metrics

RSUs exercised 380 units Restricted Share Units converted into 380 common shares on 2026-04-14

Shares withheld for taxes 168 shares at $58.30 Common stock withheld to satisfy tax obligation on 2026-04-14

Common shares after transaction 8,473 shares Directly owned Enterprise Financial Services Corp common stock after 2026-04-14

Option exercise price $43.81 per share Non-qualified stock option expiring 2031-02-25 with 1,058 underlying shares

Option exercise price $39.50 per share Non-qualified stock option expiring 2034-02-28 with 2,722 underlying shares

Option exercise price $57.17 per share Non-qualified stock option expiring 2035-03-04 with 1,919 underlying shares

Unvested RSUs 520 units Restricted Share Units with exercise price $0.00 and no expiration date

Depositary Shares held 400 shares Each represents 1/40th interest in 5.00% Series A preferred stock

Key Terms

Restricted Share Units, Non Qualified Stock Option (Right to Buy), Depositary Shares, 5.00% Series A Fixed-Rate Non-Cumulative Perpetual Preferred Stock, +2 more

6 terms

Non Qualified Stock Option (Right to Buy) financial

"Non Qualified Stock Option (Right to Buy) with specific exercise prices and expirations."

Depositary Shares financial

"Each Depositary Share represents a 1/40th interest in a share of the Issuer's 5.00% Series A Fixed-Rate Non-Cumulative Perpetual Preferred Stock."

Depositary shares are tradable certificates that represent a fractional piece of a larger security held by a third-party bank, like owning a slice of a single big pie instead of the whole pie. They let companies issue and investors buy smaller, more affordable portions of preferred stock or other instruments; holders usually receive proportional dividends and market pricing similar to ordinary shares, but may have limited voting rights and different liquidity or tax implications, which can affect income and resale value.

5.00% Series A Fixed-Rate Non-Cumulative Perpetual Preferred Stock financial

"Represents the underlying security for the Depositary Shares purchased in an underwritten public offering."

2018 Stock Incentive Plan financial

"The RSU's were granted pursuant to the Company's 2018 Stock Incentive Plan."

tax withholding obligation financial

"Withholding of stock to satisfy tax withholding obligation on issuance of common stock."

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did EFSC executive Troy Dumlao report on this Form 4?

Troy Dumlao reported exercising 380 Restricted Share Units into 380 shares of Enterprise Financial Services Corp common stock. The filing also shows a related share withholding for taxes and updated holdings in options, RSUs, and preferred stock depositary shares.

How many EFSC common shares did Troy Dumlao acquire and how many were withheld for taxes?

He acquired 380 shares of common stock from vested Restricted Share Units. Of these, 168 shares were withheld at $58.30 per share to satisfy tax obligations, resulting in a net increase that brought his directly owned common shares to 8,473 after the transactions.

How many EFSC common shares does Troy Dumlao hold directly after this Form 4 transaction?

After these transactions, Troy Dumlao directly owns 8,473 shares of Enterprise Financial Services Corp common stock. This figure reflects the RSU conversion into shares and the share withholding for taxes recorded in the filing on the same transaction date.

What are the Depositary Shares reported in Troy Dumlao’s EFSC holdings?

The filing lists 400 Depositary Shares held directly. Each Depositary Share represents a 1/40th interest in a share of Enterprise Financial Services Corp’s 5.00% Series A Fixed-Rate Non-Cumulative Perpetual Preferred Stock, originally purchased in an underwritten public offering according to the footnote.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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Accepted by SEC EDGAR 04/16/2026 - 03:18 PM EDT

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

DUMLAO TROY

(Last)

(First)

(Middle)

150 N. MERAMEC

(Street)

ST LOUIS

MISSOURI

63105

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
ENTERPRISE FINANCIAL SERVICES CORP [ EFSC ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	EVP, Chief Accounting Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/14/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/14/2026		M		380	A	$0	8,641	D
Common Stock	04/14/2026		F		168⁽¹⁾	D	$58.3	8,473	D
Depository Shares⁽²⁾								400	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Non Qualified Stock Option (Right to Buy)	$43.81							02/06/2024	02/25/2031	Common Stock	1,058		1,058	D
Non Qualified Stock Option (Right to Buy)	$48.34							02/03/2025	02/24/2032	Common Stock	1,266		1,266	D
Non Qualified Stock Option (Right to Buy)	$54.46							02/10/2026	02/28/2033	Common Stock	1,769		1,769	D
Non Qualified Stock Option (Right to Buy)	$39.5							⁽³⁾	02/28/2034	Common Stock	2,722		2,722	D
Non Qualified Stock Option (Right to Buy)	$57.17							⁽⁴⁾	03/04/2035	Common Stock	1,919		1,919	D
Restricted Share Units	⁽⁵⁾							⁽⁶⁾	⁽⁶⁾	Common Stock	520		520	D
Restricted Share Units	⁽⁵⁾							⁽⁷⁾	⁽⁷⁾	Common Stock	642		642	D
Restricted Share Units	⁽⁵⁾							⁽⁸⁾	⁽⁸⁾	Common Stock	836		836	D
Restricted Share Units	⁽⁵⁾	04/14/2026		M			380	⁽⁹⁾	⁽⁹⁾	Common Stock	380	$0	0	D

Explanation of Responses:

1. Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

2. Each Depositary Share represents a 1/40th interest in a share of the Issuer's 5.00% Series A Fixed-Rate Non-Cumulative Perpetual Preferred Stock. Depositary Shares were purchased in an underwritten public offering.

3. This option becomes exercisable in the first quarter of 2027, subject to continued employment by the reporting person.

4. The option becomes exercisable in the first quarter of 2028, subject to continued employment by the reporting person.

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 RSU's vest 100% in the first quarter of 2027, subject to continued employment by the reporting person.

7. The RSU's vest 100% in the first quarter of 2028, subject to continued employment by the reporting person.

8. The RSU's vest 100% in the first quarter of 2029, subject to continued employment by the reporting person.

9. 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.

	/s/ Troy Dumlao	04/16/2026
	** 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 4 (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 Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR