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EFSC legal officer exercises RSUs, withholds shares

Enterprise Financial Services Corp executive reports equity award activity.

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

Rhea-AI Filing Summary

Enterprise Financial Services Corp executive reports equity award activity. SEVP and Chief Legal Officer Nicole M. Iannacone exercised 3,326 restricted share units into 3,326 shares of common stock at a stated price of $0.00 per share.

To cover tax obligations on this issuance, 1,466 shares of common stock were disposed of at $57.57 per share through share withholding, a non-open-market transaction. Following these transactions, she directly owns 22,855 shares of common stock. The filing also lists multiple non-qualified stock options and additional restricted share units that vest or become exercisable in future years, subject to continued employment.

Positive

  • None.

Negative

  • None.
Insider IANNACONE NICOLE M
Role SEVP, Chief Legal Officer
Type Security Shares Price Value
Exercise Restricted Share Units 3,326 $0.00 $0.00
Exercise Common Stock 3,326 $0.00 $0.00
Exercise Price or Tax Liability Common Stock 1,466 $57.57 $84K
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 -- -- --
Holdings After Transaction: Restricted Share Units — 6,099 contracts for 2,773 underlying shares (Direct); Common Stock — 22,855 shares (Direct); Non Qualified Stock Option (Right to Buy) — 25,979 contracts (Direct)
Footnotes (7)
  1. F1. Withholding of stock to satisfy tax withholding obligation on issuance of common stock.
  2. F2. This option becomes exercisable in the first quarter of 2027, subject to continued employment by the reporting person.
  3. F3. The option becomes exercisable in the first quarter of 2028, subject to continued employment by the reporting person.
  4. F4. 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.
  5. F5. The RSU's vest 100% in the first quarter of 2027, subject to continued employment by the reporting person.
  6. F6. The RSU's vest 100% in the first quarter of 2028, subject to continued employment by the reporting person.
  7. F7. 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.

FAQ

What insider transactions did EFSC executive Nicole Iannacone report?
Nicole M. Iannacone reported exercising 3,326 restricted share units into common stock and a related tax-withholding share disposition. The disposition involved 1,466 common shares withheld at $57.57 per share to satisfy tax obligations on the stock issuance.

How many EFSC shares does Nicole Iannacone own after the Form 4 filing?
After the reported transactions, Nicole M. Iannacone directly owns 22,855 shares of Enterprise Financial Services Corp common stock. This figure reflects the 3,326-share RSU conversion and the 1,466-share tax-withholding disposition on the same transaction date.

Were EFSC shares sold on the open market in this Form 4?
The filing shows a 1,466-share disposition at $57.57 per share classified as payment of tax liability by delivering securities. This indicates shares were withheld for taxes rather than sold as a typical open-market transaction by the executive.

What type of equity awards are involved in EFSC executive Nicole Iannacone’s filing?
The filing involves restricted share units converting into 3,326 common shares and several non-qualified stock options. Footnotes explain that certain options and RSUs vest or become exercisable in future quarters, subject to Nicole Iannacone’s continued employment with the company.

Does the EFSC Form 4 indicate future vesting of RSUs for Nicole Iannacone?
Yes. Footnotes state specific restricted share unit grants vest 100% in the first quarter of 2027 and 2028, and another RSU grant vests in one-third installments on February 24, 2024, 2026, and 2028, contingent on continued employment at 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*
IANNACONE NICOLE M
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
SEVP, Chief Legal Officer
3. Date of Earliest Transaction (Month/Day/Year)
02/24/2026
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 02/24/2026 M 3,326 A $0 24,321 D
Common Stock 02/24/2026 F 1,466(1) D $57.57 22,855 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)
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 4,521 4,521 D
Non Qualified Stock Option (Right to Buy) $48.34 02/03/2025 02/24/2032 Common Stock 4,946 4,946 D
Non Qualified Stock Option (Right to Buy) $54.46 02/10/2026 02/28/2033 Common Stock 4,985 4,985 D
Non Qualified Stock Option (Right to Buy) $39.5 (2) 02/28/2034 Common Stock 7,551 7,551 D
Non Qualified Stock Option (Right to Buy) $57.17 (3) 03/04/2035 Common Stock 3,976 3,976 D
Restricted Share Units (4) (5) (5) Common Stock 1,443 1,443 D
Restricted Share Units (4) (6) (6) Common Stock 1,330 1,330 D
Restricted Share Units (4) 02/24/2026 M 3,326 (7) (7) Common Stock 3,326 $0 3,326 D
Explanation of Responses:
1. Withholding of stock to satisfy tax withholding obligation on issuance of common stock.
2. This option becomes exercisable in the first quarter of 2027, subject to continued employment by the reporting person.
3. The option becomes exercisable in the first quarter of 2028, subject to continued employment by the reporting person.
4. 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.
5. The RSU's vest 100% in the first quarter of 2027, subject to continued employment by the reporting person.
6. The RSU's vest 100% in the first quarter of 2028, subject to continued employment by the reporting person.
7. 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.
/s/ Nicole M. Iannacone 02/26/2026
** 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