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EFSC CEO granted 6,344 restricted share units

Enterprise Financial Services Corp CEO James Brian Lally reported an equity compensation grant rather than an open-market trade.

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Enterprise Financial Services Corp CEO James Brian Lally reported an equity compensation grant rather than an open-market trade. On the reported date, he acquired 6,344 Restricted Share Units as a grant or award, at a stated price of $0.00 per unit, bringing his total reported RSU holdings of that grant to 6,344.

Footnotes explain that these RSUs were granted under the company’s 2018 Stock Incentive Plan and that each RSU represents the right to receive one share of common stock, with vesting conditioned on his continued employment. The filing also updates his direct and indirect holdings of common stock and non-qualified stock options, without identifying any separate buy or sell transactions.

Positive

  • None.

Negative

  • None.
Insider LALLY JAMES BRIAN
Role CEO
Type Security Shares Price Value
Grant/Award Restricted Share Units 6,344 $0.00 $0.00
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 Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Restricted Share Units — 25,581 contracts for 19,237 underlying shares (Direct); Non Qualified Stock Option (Right to Buy) — 105,205 contracts (Direct); Common Stock — 119,803 shares (Direct); Common Stock — 19,570 shares (Indirect, 401 (K) Plan)
Footnotes (9)
  1. F1. These securities are represented by units held in a unitized stock fund through the Company's 401(k) Plan. The unitized stock fund consists of cash and common stock in amounts that vary from time to time.
  2. F2. These shares are held jointly with spouse.
  3. F3. This option becomes exercisable in the first quarter of 2027, subject to continued employment by the reporting person.
  4. F4. The option becomes exercisable in the first quarter of 2028, subject to continued employment by the reporting person.
  5. 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.
  6. F6. The RSU's vest 100% in the first quarter of 2027, subject to continued employment by the reporting person.
  7. F7. The RSU's vest 100% in the first quarter of 2028, subject to continued employment by the reporting person.
  8. F8. The RSUs vest over six years in one-third installments on each of February 24, 2024, February 24, 2026, and February 24, 2028. Vesting is subject to continued employment of the reporting person. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
  9. F9. The RSU's vest 100% in the first quarter of 2029, subject to continued employment by the reporting person.

FAQ

What did EFSC CEO James Brian Lally report in this Form 4 filing?
He reported receiving a grant of 6,344 Restricted Share Units as equity compensation. The RSUs were awarded at a stated price of $0.00 and are tied to Enterprise Financial Services Corp’s common stock, with vesting dependent on his continued employment.

Were any Enterprise Financial Services (EFSC) common shares bought or sold in this Form 4?
The Form 4 does not show any explicit buy or sell transactions in EFSC common stock. It primarily records a grant of 6,344 Restricted Share Units and updates various direct and indirect holdings in common stock and stock options without indicating separate purchases or sales.

What are the terms of the RSUs granted to EFSC CEO James Brian Lally?
The RSUs were granted under Enterprise Financial Services Corp’s 2018 Stock Incentive Plan. Each RSU represents the right to receive one share of common stock, and footnotes state that vesting is conditioned on Mr. Lally’s continued employment with the company over specified future periods.

How many Restricted Share Units did the EFSC CEO hold after this grant?
After this reported grant, the Form 4 lists 6,344 Restricted Share Units for the new award. Additional RSU lines in the filing reflect other outstanding RSU holdings, each with its own vesting schedule, all ultimately settled in Enterprise Financial Services Corp common stock upon vesting.

What indirect EFSC share holdings does James Brian Lally report in this filing?
He reports indirect ownership of EFSC common stock through a 401(k) Plan unitized stock fund. A footnote notes this fund holds a mix of cash and common stock whose proportions vary, so the reported units represent a changing blend of cash and EFSC shares over time.

What stock options does the EFSC CEO report, and when do they become exercisable?
The filing lists several non-qualified stock option positions with different post-transaction share balances. Footnotes state that certain options become exercisable in the first quarters of 2027 and 2028, contingent on Mr. Lally’s continued employment with Enterprise Financial Services Corp.

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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*
LALLY JAMES BRIAN
(Last) (First) (Middle)
150 N. MERAMEC
(Street)
CLAYTON MO 63105
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ENTERPRISE FINANCIAL SERVICES CORP [ EFSC ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
CEO
3. Date of Earliest Transaction (Month/Day/Year)
03/04/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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)
Code V Amount (A) or (D) Price
Common Stock 115,696 D
Common Stock 19,570 I 401 (K) Plan(1)
Common Stock 4,107 D(2)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Non Qualified Stock Option (Right to Buy) $43.81 02/06/2024 02/25/2031 Common Stock 17,637 17,637 D
Non Qualified Stock Option (Right to Buy) $48.34 02/03/2025 02/24/2032 Common Stock 20,325 20,325 D
Non Qualified Stock Option (Right to Buy) $54.46 02/10/2026 02/28/2033 Common Stock 20,438 20,438 D
Non Qualified Stock Option (Right to Buy) $39.5 (3) 02/28/2034 Common Stock 30,661 30,661 D
Non Qualified Stock Option (Right to Buy) $57.17 (4) 03/04/2035 Common Stock 16,144 16,144 D
Restricted Share Units (5) (6) (6) Common Stock 5,857 5,857 D
Restricted Share Units (5) (7) (7) Common Stock 5,398 5,398 D
Restricted Share Units (5) (8) (8) Common Stock 7,982 7,982 D
Restricted Share Units (5) 03/04/2026 A 6,344 (9) (9) Common Stock 6,344 $0 6,344 D
Explanation of Responses:
1. These securities are represented by units held in a unitized stock fund through the Company's 401(k) Plan. The unitized stock fund consists of cash and common stock in amounts that vary from time to time.
2. These shares are held jointly with spouse.
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 RSUs vest over six years in one-third installments on each of February 24, 2024, February 24, 2026, and February 24, 2028. Vesting is subject to continued employment of the reporting person. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.
9. The RSU's vest 100% in the first quarter of 2029, subject to continued employment by the reporting person.
/s/James Brian Lally 03/06/2026
** 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.

Source: View Original Filing on SEC EDGAR