Tapewire

Nasdaq · USD

EFSC

ENTERPRISE FINANCIAL SERVICES CORP

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Tapewire entity
4422
SEC CIK
0001025835
Parsed reports
646

Last 12 months

Inside the activity.

0 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202602
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 08, 2022 Filed Dec 12, 2022 19:58 UTC GrantPhantom Stock · Derivative 422 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027274 · form4.xml · derivative · entry 5

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,910

Underlying: Common Stock · 422 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed on January 1, 2024, the deferral date identified by the director in accordance with the terms of the Plan.

F2 · derivative.expiration_date: Shares of common stock will be distributed on January 1, 2024, the deferral date identified by the director in accordance with the terms of the Plan.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 19:56 UTC GrantPhantom Stock · Derivative 208 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027272 · form4.xml · derivative · entry 4

Schmitz Eloise · CIK 0001407933 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,214

Underlying: Common Stock · 208 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

F2 · derivative.expiration_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 19:54 UTC GrantCommon Stock 136 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027270 · form4.xml · nonDerivative · entry 1

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,688

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 19:53 UTC GrantPhantom Stock · Derivative 134 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027268 · form4.xml · derivative · entry 1

RODRIGUES DANIEL A · CIK 0001249019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,299

Underlying: Common Stock · 134 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

F2 · derivative.expiration_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 19:51 UTC GrantPhantom Stock · Derivative 126 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027266 · form4.xml · derivative · entry 2

MARSH STEPHEN P · CIK 0001264209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,297

Underlying: Common Stock · 126 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

F2 · derivative.expiration_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 19:50 UTC GrantCommon Stock 146 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027264 · form4.xml · nonDerivative · entry 1

KENT NEVADA A · CIK 0001697861 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,225

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 19:48 UTC
Hui PeterDirector
GrantPhantom Stock · Derivative 355 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027262 · form4.xml · derivative · entry 4

Hui Peter · CIK 0001736754 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,037

Underlying: Common Stock · 355 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

F2 · derivative.expiration_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 19:47 UTC GrantCommon Stock 402 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027260 · form4.xml · nonDerivative · entry 1

Holmes Michael · CIK 0001347962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,890

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 19:46 UTC GrantCommon Stock 376 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027258 · form4.xml · nonDerivative · entry 1

HAVEL JAMES M · CIK 0001602629 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,552

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 19:44 UTC GrantCommon Stock 201 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027256 · form4.xml · nonDerivative · entry 1

GUEST ROBERT E JR · CIK 0001203646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 19:41 UTC GrantCommon Stock 278 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027254 · form4.xml · nonDerivative · entry 1

DECOLA MICHAEL A · CIK 0001417285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,293

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
December 08, 2022 Filed Dec 13, 2022 19:29 UTC Amendment GrantPhantom Stock · Derivative 422 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027383 · form4a.xml · derivative · entry 4

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,910

Underlying: Common Stock · 422 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed on January 1, 2024, the deferral date identified by the director in accordance with the terms of the Plan.

F2 · derivative.expiration_date: Shares of common stock will be distributed on January 1, 2024, the deferral date identified by the director in accordance with the terms of the Plan.

Read SEC document
December 02, 2022 Filed Dec 6, 2022 20:36 UTC SaleCommon Stock 5 $52.00 $260.00
Disclosure

SEC source: 0001127602-22-026965 · form4.xml · nonDerivative · entry 1

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Foundation

Disclosed balance after: 8,200

F1 · ownership.nature: Shares are held by a family charitable foundation and the reporting person has no pecuniary interest in the shares.

Read SEC document
December 01, 2022 Filed Dec 5, 2022 18:53 UTC SaleCommon Stock 15,448 $52.10 $804,840.80
Disclosure

SEC source: 0001127602-22-026860 · form4.xml · nonDerivative · entry 2

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 0

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.00 to $52.20, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F2 · ownership.nature: Shares held by spouse.

Read SEC document
December 01, 2022 Filed Dec 5, 2022 18:53 UTC SaleCommon Stock 24,552 $52.10 $1,279,159.20
Disclosure

SEC source: 0001127602-22-026860 · form4.xml · nonDerivative · entry 1

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,552

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.00 to $52.20, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
November 30, 2022 Filed Dec 7, 2022 20:47 UTC
PONDER MARK GEVP, Chief Admin. Officer
OtherCommon Stock 111 $38.90 $4,317.90
Disclosure

SEC source: 0001127602-22-027032 · form4.xml · nonDerivative · entry 1

PONDER MARK G · CIK 0001550076 · EVP, Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,502

F1 · kind: 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 June 1, 2022 through November 30, 2022. This transaction is exempt under Section 16b-3(c).

F2 · price: 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 November 30, 2022.

Read SEC document
November 30, 2022 Filed Dec 7, 2022 20:46 UTC
BAUCHE DOUGLASChief Credit Officer
OtherCommon Stock 193 $38.90 $7,507.70
Disclosure

SEC source: 0001127602-22-027030 · form4.xml · nonDerivative · entry 1

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,269

F1 · kind: 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 June 1, 2022 through November 30, 2022. This transaction is exempt under Section 16b-3(c).

F2 · price: 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 November 30, 2022.

Read SEC document
November 30, 2022 Filed Dec 7, 2022 20:44 UTC
DUMLAO TROYSVP, Chief Accounting Officer
OtherCommon Stock 99 $38.90 $3,851.10
Disclosure

SEC source: 0001127602-22-027028 · form4.xml · nonDerivative · entry 1

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,920

F1 · kind: 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 June 1, 2022 through November 30, 2022. This transaction is exempt under Section 16b-3(c).

F2 · price: 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 November 30, 2022.

Read SEC document
November 29, 2022 Filed Dec 1, 2022 20:41 UTC GiftCommon Stock 2,000 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026618 · form4.xml · nonDerivative · entry 1

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 42,884

F1 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

Read SEC document
October 12, 2022 Filed Nov 10, 2022 16:41 UTC OtherCommon Stock 8,676 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-025253 · form4.xml · nonDerivative · entry 2

GUEST ROBERT E JR · CIK 0001203646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,792

F2 · price: Shares acquired by inheritance.

F3 · ownership.direct: These shares are held jointly with spouse.

Read SEC document
August 26, 2022 Filed Nov 10, 2022 16:41 UTC OtherCommon Stock 1,650 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-025253 · form4.xml · nonDerivative · entry 1

GUEST ROBERT E JR · CIK 0001203646 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Guest Family Trust

Disclosed balance after: 1,650

F1 · price: Shares acquired by inheritance. Mr. Guest has shared investment authority as a trustee.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 16:03 UTC Amendment GrantPhantom Stock · Derivative 2,177 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019334 · form4a.xml · derivative · entry 2

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,488

Underlying: Common Stock · 2,177 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed on January 1, 2024, the deferral date identified by the director in accordance with the terms of the Plan.

F2 · derivative.expiration_date: Shares of common stock will be distributed on January 1, 2024, the deferral date identified by the director in accordance with the terms of the Plan.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:44 UTC GrantPhantom Stock · Derivative 2,177 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019332 · form4.xml · derivative · entry 3

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,488

Underlying: Common Stock · 2,177 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed on January 1, 2024, the deferral date identified by the director in accordance with the terms of the Plan.

F2 · derivative.expiration_date: Shares of common stock will be distributed on January 1, 2024, the deferral date identified by the director in accordance with the terms of the Plan.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:42 UTC GrantPhantom Stock · Derivative 917 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019330 · form4.xml · derivative · entry 4

Schmitz Eloise · CIK 0001407933 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,006

Underlying: Common Stock · 917 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

F2 · derivative.expiration_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:41 UTC GrantCommon Stock 917 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019328 · form4.xml · nonDerivative · entry 1

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,104

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:39 UTC GrantPhantom Stock · Derivative 917 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019326 · form4.xml · derivative · entry 1

RODRIGUES DANIEL A · CIK 0001249019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,165

Underlying: Common Stock · 917 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

F2 · derivative.expiration_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:38 UTC GrantPhantom Stock · Derivative 917 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019324 · form4.xml · derivative · entry 2

MARSH STEPHEN P · CIK 0001264209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,171

Underlying: Common Stock · 917 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

F2 · derivative.expiration_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:35 UTC
Hui PeterDirector
GrantPhantom Stock · Derivative 1,834 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019320 · form4.xml · derivative · entry 4

Hui Peter · CIK 0001736754 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,682

Underlying: Common Stock · 1,834 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

F2 · derivative.expiration_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:36 UTC GrantCommon Stock 917 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019322 · form4.xml · nonDerivative · entry 1

KENT NEVADA A · CIK 0001697861 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,079

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:33 UTC GrantCommon Stock 2,079 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019318 · form4.xml · nonDerivative · entry 1

Holmes Michael · CIK 0001347962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,488

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:32 UTC GrantCommon Stock 1,834 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019316 · form4.xml · nonDerivative · entry 1

HAVEL JAMES M · CIK 0001602629 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,176

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:30 UTC GrantCommon Stock 1,039 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019314 · form4.xml · nonDerivative · entry 1

GUEST ROBERT E JR · CIK 0001203646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,039

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:28 UTC GrantCommon Stock 3,546 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019312 · form4.xml · nonDerivative · entry 1

Eulich John S · CIK 0001336954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,940

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 13:27 UTC GrantCommon Stock 2,079 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-019310 · form4.xml · nonDerivative · entry 1

DECOLA MICHAEL A · CIK 0001417285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,015

F1 · price: Represents shares issued under the Non-Management Director Stock Plan.

Read SEC document
May 31, 2022 Filed Jun 7, 2022 20:10 UTC
IANNACONE NICOLE MEVP, Chief Risk Officer
OtherCommon Stock 533 $39.36 $20,978.88
Disclosure

SEC source: 0001127602-22-016979 · form4.xml · nonDerivative · entry 1

IANNACONE NICOLE M · CIK 0001731826 · EVP, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,962

F1 · kind: 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 December 1, 2021 through May 31, 2022. This transaction is exempt under Section 16b-3(c).

F2 · price: 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 May 31, 2022.

Read SEC document
May 31, 2022 Filed Jun 7, 2022 20:07 UTC
KEENE S TURNEREVP, Chief Financial Officer
OtherCommon Stock 533 $39.36 $20,978.88
Disclosure

SEC source: 0001127602-22-016977 · form4.xml · nonDerivative · entry 1

KEENE S TURNER · CIK 0001482570 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,430

F1 · kind: 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 December 1, 2021 through May 31, 2022. This transaction is exempt under Section 16b-3(c).

F2 · price: 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 May 31, 2022.

Read SEC document
May 31, 2022 Filed Jun 7, 2022 20:04 UTC
PONDER MARK GEVP, Chief Admin. Officer
OtherCommon Stock 424 $39.36 $16,688.64
Disclosure

SEC source: 0001127602-22-016974 · form4.xml · nonDerivative · entry 1

PONDER MARK G · CIK 0001550076 · EVP, Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,391

F1 · kind: 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 December 1, 2021 through May 31, 2022. This transaction is exempt under Section 16b-3(c).

F2 · price: 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 May 31, 2022.

Read SEC document
May 31, 2022 Filed Jun 7, 2022 20:02 UTC
LALLY JAMES BRIANDirector · CEO
OtherCommon Stock 533 $39.36 $20,978.88
Disclosure

SEC source: 0001127602-22-016972 · form4.xml · nonDerivative · entry 1

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,965

F1 · kind: 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 December 1, 2021 through May 31, 2022. This transaction is exempt under Section 16b-3(c).

F2 · price: 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 May 31, 2022.

Read SEC document
May 31, 2022 Filed Jun 7, 2022 20:00 UTC
DUMLAO TROYSVP, Chief Accounting Officer
OtherCommon Stock 436 $39.36 $17,160.96
Disclosure

SEC source: 0001127602-22-016970 · form4.xml · nonDerivative · entry 1

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,821

F1 · kind: 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 December 1, 2021 through May 31, 2022. This transaction is exempt under Section 16b-3(c).

F2 · price: 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 May 31, 2022.

Read SEC document
May 31, 2022 Filed Jun 7, 2022 19:58 UTC
BAUCHE DOUGLASChief Credit Officer
OtherCommon Stock 381 $39.36 $14,996.16
Disclosure

SEC source: 0001127602-22-016968 · form4.xml · nonDerivative · entry 1

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,076

F1 · kind: 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 December 1, 2021 through May 31, 2022. This transaction is exempt under Section 16b-3(c).

F2 · price: 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 May 31, 2022.

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April 01, 2022 Filed Apr 5, 2022 16:01 UTC
DUMLAO TROYSVP, Chief Accounting Officer
Exercise / conversionRestricted Share Units · Derivative 366 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-011391 · form4.xml · derivative · entry 4

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 366 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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.

F4 · derivative.exercise_date: 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 1, 2022. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.

F4 · derivative.expiration_date: 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 1, 2022. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.

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April 01, 2022 Filed Apr 5, 2022 16:01 UTC
DUMLAO TROYSVP, Chief Accounting Officer
Tax withholdingCommon Stock 106 $47.06 $4,988.36
Disclosure

SEC source: 0001127602-22-011391 · form4.xml · nonDerivative · entry 2

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,385

F1 · shares: Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

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April 01, 2022 Filed Apr 5, 2022 16:01 UTC
DUMLAO TROYSVP, Chief Accounting Officer
Exercise / conversionCommon Stock 366 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-011391 · form4.xml · nonDerivative · entry 1

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,491

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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March 17, 2022 Filed Mar 21, 2022 15:53 UTC GrantPhantom Stock · Derivative 254 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-010010 · form4.xml · derivative · entry 2

MARSH STEPHEN P · CIK 0001264209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254

Underlying: Common Stock · 254 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

F2 · derivative.expiration_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

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March 17, 2022 Filed Mar 28, 2022 21:44 UTC GrantPhantom Stock · Derivative 254 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-010470 · form4.xml · derivative · entry 1

RODRIGUES DANIEL A · CIK 0001249019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,248

Underlying: Common Stock · 254 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share represents the right to receive one share of common stock upon distribution from the Non-Management Director Stock Plan deferred compensation account.

F3 · price: Represents shares issued under the Non-Management Director Stock Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

F2 · derivative.expiration_date: Shares of common stock will be distributed following termination of the reporting person's services as an Independent Director of the Company.

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February 25, 2022 Filed Feb 28, 2022 19:17 UTC
DUMLAO TROYSVP, Chief Accounting Officer
Exercise / conversionRestricted Share Units · Derivative 330 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-006980 · form4.xml · derivative · entry 9

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 659

Underlying: Common Stock · 330 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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.

F7 · derivative.exercise_date: 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.

F7 · derivative.expiration_date: 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.

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February 25, 2022 Filed Feb 28, 2022 19:17 UTC
DUMLAO TROYSVP, Chief Accounting Officer
Exercise / conversionRestricted Share Units · Derivative 369 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-006980 · form4.xml · derivative · entry 8

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368

Underlying: Common Stock · 369 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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 · derivative.exercise_date: 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 26, 2023. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.

F6 · derivative.expiration_date: 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 26, 2023. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.

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February 25, 2022 Filed Feb 28, 2022 19:17 UTC
DUMLAO TROYSVP, Chief Accounting Officer
Tax withholdingCommon Stock 116 $49.86 $5,783.76
Disclosure

SEC source: 0001127602-22-006980 · form4.xml · nonDerivative · entry 4

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,125

F1 · shares: Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

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February 25, 2022 Filed Feb 28, 2022 19:17 UTC
DUMLAO TROYSVP, Chief Accounting Officer
Exercise / conversionCommon Stock 330 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-006980 · form4.xml · nonDerivative · entry 3

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,241

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 25, 2022 Filed Feb 28, 2022 19:17 UTC
DUMLAO TROYSVP, Chief Accounting Officer
Tax withholdingCommon Stock 130 $49.86 $6,481.80
Disclosure

SEC source: 0001127602-22-006980 · form4.xml · nonDerivative · entry 2

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,911

F1 · shares: Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.