EFSC CEO acquires 462 shares via ESPP
Enterprise Financial Services Corp CEO James Brian Lally reported an acquisition of 462 shares of common stock at $45.94 per share through the company’s 2018 Employee Stock Purchase Plan for the period from January 1, 2026 through June 30, 2026.
Rhea-AI Filing Summary
Enterprise Financial Services Corp CEO James Brian Lally reported an acquisition of 462 shares of common stock at $45.94 per share through the company’s 2018 Employee Stock Purchase Plan for the period from January 1, 2026 through June 30, 2026.
After this ESPP transaction, he directly holds 116,158 shares of common stock and an additional 19,570 shares indirectly through the company’s 401(k) Plan. He also holds multiple restricted share unit awards and non-qualified stock options covering tens of thousands of shares with exercise prices between $39.50 and $57.17 and expirations from 2031 to 2035, indicating a substantial remaining equity-based compensation position.
Positive
- None.
Negative
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Insider Trade Summary
Other: 462 shares
Other
12 txns
Insider
LALLY JAMES BRIAN
Role
CEO
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Other | Common Stock | 462 | $45.94 | $21K |
| 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 | Restricted Share Units | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Common Stock — 120,265 shares (Direct);
Non Qualified Stock Option (Right to Buy) — 105,205 contracts (Direct);
Restricted Share Units — 25,581 contracts (Direct);
Common Stock — 19,570 shares (Indirect, 401 (K) Plan)
Footnotes (11)
- F1. The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Issuer's 2018 Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of January 1, 2026, through June 30, 2026. This transaction is exempt under Section 16b-3(c).
- F2. In accordance with the terms of the ESPP, the reported shares were acquired based on 85% of the closing price of the Issuer's common stock on January 2, 2026.
- F3. These securities are shares of EFSC common stock held through the Company's 401(k) Plan.
- F4. These shares are held jointly with spouse.
- F5. This option becomes exercisable in the first quarter of 2027, subject to continued employment by the reporting person.
- F6. The option becomes exercisable in the first quarter of 2028, subject to continued employment by the reporting person.
- F7. 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.
- F8. The RSU's vest 100% in the first quarter of 2027, subject to continued employment by the reporting person.
- F9. The RSU's vest 100% in the first quarter of 2028, subject to continued employment by the reporting person.
- F10. The RSU's vest 100% in the first quarter of 2029, subject to continued employment by the reporting person.
- F11. 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.
Key Figures
ESPP shares acquired: 462 shares
ESPP purchase price: $45.94/share
Direct common shares after transaction: 116,158 shares
+5 more
8 metrics
ESPP shares acquired
462 shares
Common Stock acquired through 2018 Employee Stock Purchase Plan for period Jan 1–Jun 30, 2026
ESPP purchase price
$45.94/share
Price for ESPP acquisition based on 85% of Jan 2, 2026 closing price
Direct common shares after transaction
116,158 shares
Direct ownership of Enterprise Financial Services Corp common stock following ESPP acquisition
401(k) Plan holdings
19,570 shares
EFSC common stock held indirectly through the company’s 401(k) Plan
Largest option grant
30,661 shares at $39.50
Non-qualified stock option on EFSC common stock expiring Feb 28, 2034
Additional option grant
16,144 shares at $57.17
Non-qualified stock option on EFSC common stock expiring Mar 4, 2035
RSU block
7,982 underlying shares
Restricted Share Units on EFSC common stock granted under 2018 Stock Incentive Plan
RSU installment vesting
Feb 24, 2024/2026/2028
RSUs vest over six years in one-third installments on these dates
Key Terms
Employee Stock Purchase Plan, Section 16b-3(c), Non Qualified Stock Option (Right to Buy), Restricted Share Units, +2 more
6 terms
Employee Stock Purchase Plan financial
"acquisition of shares of the Issuer's common stock pursuant to the Issuer's 2018 Employee Stock Purchase Plan"
An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.
Section 16b-3(c) regulatory
"This transaction is exempt under Section 16b-3(c)."
Non Qualified Stock Option (Right to Buy) financial
"Non Qualified Stock Option (Right to Buy) ... underlying security title Common Stock"
2018 Stock Incentive Plan financial
"The RSU's were granted pursuant to the Company's 2018 Stock Incentive Plan."
401(k) Plan financial
"These securities are shares of EFSC common stock held through the Company's 401(k) Plan."
A 401(k) plan is a workplace retirement account that lets employees set aside part of their pay into a tax-advantaged savings pot, often with employers adding matching contributions — like a workplace piggy bank for future income. It matters to investors because the amount people save and how employers fund these plans influence consumer spending, corporate payroll costs and the flow of money into financial markets, which can affect stock prices and company valuations.
FAQ
What insider transaction did EFSC CEO James Brian Lally report?
EFSC CEO James Brian Lally reported acquiring 462 shares of common stock through the company’s 2018 Employee Stock Purchase Plan. The shares relate to the purchase period from January 1, 2026 to June 30, 2026 and are exempt under Section 16b-3(c).
What indirect EFSC holdings does the CEO report through retirement plans?
The CEO reports indirect ownership of 19,570 shares of EFSC common stock through the company’s 401(k) Plan. The filing specifies that these securities are held in the 401(k), reflecting retirement-related holdings separate from his directly owned common shares and equity awards.
What stock options does the EFSC CEO still hold according to this Form 4?
The CEO holds several non-qualified stock options on EFSC common stock, including grants covering 16,144 shares at $57.17, 30,661 shares at $39.50, 20,438 shares at $54.46, 20,325 shares at $48.34, and 17,637 shares at $43.81, expiring between 2031 and 2035.
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