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
January 25, 2021 Filed Jan 27, 2021 16:52 UTC
KEENE S TURNEREVP, Chief Financial Officer
Tax withholdingCommon Stock 1,360 $36.64 $49,830.40
Disclosure

SEC source: 0001127602-21-002678 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,410

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

Read SEC document
January 25, 2021 Filed Jan 27, 2021 16:52 UTC
KEENE S TURNEREVP, Chief Financial Officer
GrantCommon Stock 2,754 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-002678 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,770

F2 · kind: The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.

Read SEC document
January 25, 2021 Filed Jan 27, 2021 16:52 UTC
KEENE S TURNEREVP, Chief Financial Officer
Tax withholdingCommon Stock 302 $36.64 $11,065.28
Disclosure

SEC source: 0001127602-21-002678 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,016

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

Read SEC document
January 25, 2021 Filed Jan 27, 2021 16:52 UTC
KEENE S TURNEREVP, Chief Financial Officer
Exercise / conversionCommon Stock 610 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-002678 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,318

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
January 25, 2021 Filed Jan 27, 2021 16:50 UTC
LALLY JAMES BRIANDirector · CEO
Exercise / conversionRestricted Share Units · Derivative 1,052 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-002676 · form4.xml · derivative · entry 7

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,052 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.

F5 · 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 RSU's vest 100% in the first quarter of 2021, subject to continued employment by the reporting person.

F6 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2021, subject to continued employment by the reporting person.

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January 25, 2021 Filed Jan 27, 2021 16:50 UTC
LALLY JAMES BRIANDirector · CEO
Tax withholdingCommon Stock 1,915 $36.64 $70,165.60
Disclosure

SEC source: 0001127602-21-002676 · form4.xml · nonDerivative · entry 4

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,596

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

Read SEC document
January 25, 2021 Filed Jan 27, 2021 16:50 UTC
LALLY JAMES BRIANDirector · CEO
GrantCommon Stock 4,749 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-002676 · form4.xml · nonDerivative · entry 3

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,511

F2 · kind: The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.

Read SEC document
January 25, 2021 Filed Jan 27, 2021 16:50 UTC
LALLY JAMES BRIANDirector · CEO
Tax withholdingCommon Stock 398 $36.64 $14,582.72
Disclosure

SEC source: 0001127602-21-002676 · form4.xml · nonDerivative · entry 2

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,762

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

Read SEC document
January 25, 2021 Filed Jan 27, 2021 16:50 UTC
LALLY JAMES BRIANDirector · CEO
Exercise / conversionCommon Stock 1,052 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-002676 · form4.xml · nonDerivative · entry 1

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,160

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
January 15, 2021 Filed Jan 20, 2021 15:17 UTC GrantCommon Stock 320 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-002070 · form4.xml · nonDerivative · entry 1

Eulich John S · CIK 0001336954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,043

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

Read SEC document
January 04, 2021 Filed Jan 6, 2021 14:52 UTC GrantCommon Stock 324 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-000877 · form4.xml · nonDerivative · entry 1

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,214

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

Read SEC document
December 14, 2020 Filed Dec 16, 2020 15:33 UTC GrantCommon Stock 123 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-031453 · form4.xml · nonDerivative · entry 1

Eulich John S · CIK 0001336954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,723

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

Read SEC document
December 14, 2020 Filed Dec 16, 2020 15:31 UTC GrantPhantom Stock · Derivative 298 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-031451 · form4.xml · derivative · entry 4

Schmitz Eloise · CIK 0001407933 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,075

Underlying: Common Stock · 298 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: Such units are payable solely in common stock and subject to the terms and conditions of the director's deferral election and the 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 14, 2020 Filed Dec 16, 2020 15:29 UTC GrantPhantom Stock · Derivative 505 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-031449 · form4.xml · derivative · entry 2

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,404

Underlying: Common Stock · 505 shares

Expires not disclosed

F2 · 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.

F5 · price: Such units are payable solely in common stock and subject to the terms and conditions of the director's deferral election and the Plan.

F3 · derivative.exercise_date: Shares of common stock will be distributed on January 1, 2022, the deferral date identified by the director in accordance with the terms of the Plan.

F4 · derivative.expiration_date: Shares of common stock will be distributed on January 1, 2022, the deferral date identified by the director in accordance with the terms of the Plan.

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December 14, 2020 Filed Dec 16, 2020 15:29 UTC GiftCommon Stock 2,000 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-031449 · form4.xml · nonDerivative · entry 1

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 44,417

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

Read SEC document
December 14, 2020 Filed Dec 16, 2020 15:28 UTC GrantCommon Stock 625 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-031447 · form4.xml · nonDerivative · entry 1

Holmes Michael · CIK 0001347962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,298

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

Read SEC document
December 14, 2020 Filed Dec 16, 2020 15:26 UTC GrantCommon Stock 256 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-031445 · form4.xml · nonDerivative · entry 1

HEETER JUDITH S · CIK 0001541798 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,764

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

Read SEC document
December 14, 2020 Filed Dec 16, 2020 15:24 UTC GrantCommon Stock 270 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-031443 · form4.xml · nonDerivative · entry 1

GUEST ROBERT E JR · CIK 0001203646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

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

Read SEC document
December 14, 2020 Filed Dec 16, 2020 15:22 UTC GrantCommon Stock 625 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-031441 · form4.xml · nonDerivative · entry 1

HAVEL JAMES M · CIK 0001602629 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,252

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

Read SEC document
December 14, 2020 Filed Dec 16, 2020 15:13 UTC GrantCommon Stock 326 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-031435 · form4.xml · nonDerivative · entry 1

KENT NEVADA A · CIK 0001697861 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,130

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

Read SEC document
December 14, 2020 Filed Dec 16, 2020 15:11 UTC GrantCommon Stock 270 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-031432 · form4.xml · nonDerivative · entry 1

DECOLA MICHAEL A · CIK 0001417285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,712

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

Read SEC document
December 11, 2020 Filed Dec 15, 2020 16:31 UTC PurchaseCommon Stock 8,750 $35.18 $307,825.00
Disclosure

SEC source: 0001127602-20-031324 · form4.xml · nonDerivative · entry 1

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 279,965

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.06 to $35.24, 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 with in the ranges set forth in this footnote

F2 · ownership.nature: Shares held jointly in a family trust in which Mr. Sanborn is trustee.

Read SEC document
December 09, 2020 Filed Dec 11, 2020 14:43 UTC SaleCommon Stock 18,924 $35.23 $666,692.52
Disclosure

SEC source: 0001127602-20-031134 · form4.xml · nonDerivative · entry 1

Deutsch James F. · CIK 0001561111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Patriot Financial Group

Disclosed balance after: 703,287

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.62, 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 with in the ranges set forth in this footnote

F2 · ownership.nature: The shares are held by Patriot Financial Group: each of Patriot Financial Partners II, L.P. and Patriot Financial Partners Parallel II, L.P. (together, the "Patriot Funds"). The reporting person is a Managing Director of Patriot Financial Group. and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose.

Read SEC document
December 08, 2020 Filed Dec 10, 2020 13:50 UTC SaleCommon Stock 38,957 $35.05 $1,365,442.85
Disclosure

SEC source: 0001127602-20-031048 · form4.xml · nonDerivative · entry 1

Deutsch James F. · CIK 0001561111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Patriot Financial Group

Disclosed balance after: 722,211

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.16, 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 with in the ranges set forth in this footnote.

F2 · ownership.nature: The shares are held by Patriot Financial Group: each of Patriot Financial Partners II, L.P. and Patriot Financial Partners Parallel II, L.P. (together, the "Patriot Funds"). The reporting person is a Managing Director of Patriot Financial Group. and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose.

Read SEC document
December 04, 2020 Filed Dec 8, 2020 17:05 UTC SaleCommon Stock 21,107 $35.02 $739,167.14
Disclosure

SEC source: 0001127602-20-030808 · form4.xml · nonDerivative · entry 1

Deutsch James F. · CIK 0001561111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Patriot Financial Group

Disclosed balance after: 761,168

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.13, 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 with in the ranges set forth in this footnote.

F2 · ownership.nature: The shares are held by Patriot Financial Group: each of Patriot Financial Partners II, L.P. and Patriot Financial Partners Parallel II, L.P. (together, the "Patriot Funds"). The reporting person is a Managing Director of Patriot Financial Group. and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose.

Read SEC document
December 02, 2020 Filed Dec 4, 2020 15:15 UTC SaleCommon Stock 16,283 $35.00 $569,905.00
Disclosure

SEC source: 0001127602-20-030534 · form4.xml · nonDerivative · entry 1

Deutsch James F. · CIK 0001561111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Patriot Financial Group

Disclosed balance after: 782,275

F1 · ownership.nature: The shares are held by Patriot Financial Group: each of Patriot Financial Partners II, L.P. and Patriot Financial Partners Parallel II, L.P. (together, the "Patriot Funds"). The reporting person is a Managing Director of Patriot Financial Group. and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose.

Read SEC document
December 01, 2020 Filed Dec 3, 2020 14:10 UTC SaleCommon Stock 4,729 $35.05 $165,751.45
Disclosure

SEC source: 0001127602-20-030360 · form4.xml · nonDerivative · entry 1

Deutsch James F. · CIK 0001561111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Patriot Financial Group

Disclosed balance after: 798,558

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.07, 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 with in the ranges set forth in this footnote.

F2 · ownership.nature: The shares are held by Patriot Financial Group: each of Patriot Financial Partners II, L.P. and Patriot Financial Partners Parallel II, L.P. (together, the "Patriot Funds"). The reporting person is a Managing Director of Patriot Financial Group. and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose.

Read SEC document
November 30, 2020 Filed Dec 3, 2020 14:20 UTC
PONDER MARK GEVP, Chief Admin. Officer
OtherCommon Stock 384 $24.72 $9,492.48
Disclosure

SEC source: 0001127602-20-030367 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,709

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, 2020 through November 30, 2020. 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 June 1, 2020.

Read SEC document
November 30, 2020 Filed Dec 3, 2020 14:22 UTC
DUMLAO TROYSVP, Chief Accounting Officer
OtherCommon Stock 425 $24.72 $10,506.00
Disclosure

SEC source: 0001127602-20-030369 · form4.xml · nonDerivative · entry 1

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,476

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, 2020 through November 30, 2020. 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 June 1, 2020.

Read SEC document
November 30, 2020 Filed Dec 3, 2020 14:19 UTC
BAUCHE DOUGLASChief Credit Officer
OtherCommon Stock 287 $24.72 $7,094.64
Disclosure

SEC source: 0001127602-20-030365 · form4.xml · nonDerivative · entry 1

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,089

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, 2020 through November 30, 2020. 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 June 1, 2020.

Read SEC document
November 25, 2020 Filed Jan 5, 2021 13:37 UTC SaleCommon Stock 6,903 $35.00 $241,605.00
Disclosure

SEC source: 0001127602-21-000263 · form4.xml · nonDerivative · entry 1

Deutsch James F. · CIK 0001561111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Patriot Financial Group

Disclosed balance after: 796,384

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.05, 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 with in the ranges set forth in this footnote

F2 · ownership.nature: The shares are held by Patriot Financial Group: each of Patriot Financial Partners II, L.P. and Patriot Financial Partners Parallel II, L.P. (together, the "Patriot Funds"). The reporting person is a Managing Director of Patriot Financial Group. and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose.

Read SEC document
November 24, 2020 Filed Nov 25, 2020 21:16 UTC SaleCommon Stock 74,878 $35.56 $2,662,661.68
Disclosure

SEC source: 0001127602-20-030003 · form4.xml · nonDerivative · entry 1

Deutsch James F. · CIK 0001561111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Patriot Financial Group

Disclosed balance after: 803,287

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $36.09, 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 with in the ranges set forth in this footnote.

F2 · ownership.nature: The shares are held by Patriot Financial Group: each of Patriot Financial Partners II, L.P. and Patriot Financial Partners Parallel II, L.P. (together, the "Patriot Funds"). The reporting person is a Managing Director of Patriot Financial Group. and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose.

Read SEC document
November 23, 2020 Filed Nov 25, 2020 12:41 UTC SaleCommon Stock 1,647 $35.00 $57,645.00
Disclosure

SEC source: 0001127602-20-029979 · form4.xml · nonDerivative · entry 1

Deutsch James F. · CIK 0001561111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Patriot Financial Group

Disclosed balance after: 878,165

F1 · ownership.nature: The shares are held by Patriot Financial Group: each of Patriot Financial Partners II, L.P. and Patriot Financial Partners Parallel II, L.P. (together, the "Patriot Funds"). The reporting person is a Managing Director of Patriot Financial Group. and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose.

Read SEC document
November 18, 2020 Filed Nov 20, 2020 14:34 UTC SaleCommon Stock 16,572 $35.37 $586,151.64
Disclosure

SEC source: 0001127602-20-029652 · form4.xml · nonDerivative · entry 1

Deutsch James F. · CIK 0001561111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Patriot Financial Group

Disclosed balance after: 879,812

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.86, 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 with in the ranges set forth in this footnote.

F2 · ownership.nature: The shares are held by Patriot Financial Group: each of Patriot Financial Partners II, L.P. and Patriot Financial Partners Parallel II, L.P. (together, the "Patriot Funds"). The reporting person is a Managing Director of Patriot Financial Group. and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose.

Read SEC document
November 17, 2020 Filed Nov 19, 2020 14:20 UTC SaleCommon Stock 50,000 $35.41 $1,770,500.00
Disclosure

SEC source: 0001127602-20-029526 · form4.xml · nonDerivative · entry 1

Deutsch James F. · CIK 0001561111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Patriot Financial Group

Disclosed balance after: 896,384

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.26 to $35.61, 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 with in the ranges set forth in this footnote.

F2 · ownership.nature: The shares are held by Patriot Financial Group: each of Patriot Financial Partners II, L.P. and Patriot Financial Partners Parallel II, L.P. (together, the "Patriot Funds"). The reporting person is a Managing Director of Patriot Financial Group. and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose.

Read SEC document
November 02, 2020 Filed Nov 4, 2020 13:31 UTC PurchaseCommon Stock 10,000 $29.86 $298,600.00
Disclosure

SEC source: 0001127602-20-028062 · form4.xml · nonDerivative · entry 1

Eulich John S · CIK 0001336954 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 78,055

F1 · kind: This transaction is pursuant to a 10b5-1 plan.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $29.32 to $30.08, 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 purchased at each separate price with in the ranges set forth in this footnote.

Read SEC document
August 04, 2020 Filed Aug 6, 2020 14:30 UTC PurchaseCommon Stock 5,000 $29.17 $145,850.00
Disclosure

SEC source: 0001127602-20-023008 · form4.xml · nonDerivative · entry 1

Eulich John S · CIK 0001336954 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 68,055

F1 · kind: This transaction is pursuant to a 10b5-1 plan.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.98 to $29.26, 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 purchased at each separate price with in the ranges set forth in this footnote.

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August 03, 2020 Filed Aug 5, 2020 14:03 UTC PurchaseCommon Stock 5,000 $29.23 $146,150.00
Disclosure

SEC source: 0001127602-20-022783 · form4.xml · nonDerivative · entry 1

Eulich John S · CIK 0001336954 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 63,055

F1 · kind: This transaction is pursuant to a 10b5-1 plan.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.69 to $29.42, 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 purchased at each separate price with in the ranges set forth in this footnote.

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July 13, 2020 Filed Jul 15, 2020 15:41 UTC GrantPhantom Stock · Derivative 1,899 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-021535 · form4.xml · derivative · entry 2

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,899

Underlying: Common Stock · 1,899 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: Such units are payable solely in common stock and subject to the terms and conditions of the director's deferral election and the Plan.

F2 · derivative.exercise_date: Shares of common stock will be distributed on January 1, 2022, 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, 2022, the deferral date identified by the director in accordance with the terms of the Plan.

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July 13, 2020 Filed Jul 15, 2020 15:39 UTC GrantPhantom Stock · Derivative 777 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-021533 · form4.xml · derivative · entry 4

Schmitz Eloise · CIK 0001407933 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 777

Underlying: Common Stock · 777 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: Such units are payable solely in common stock and subject to the terms and conditions of the director's deferral election and the 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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July 13, 2020 Filed Jul 15, 2020 15:30 UTC GrantCommon Stock 881 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-021527 · form4.xml · nonDerivative · entry 1

HEETER JUDITH S · CIK 0001541798 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,508

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

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July 13, 2020 Filed Jul 15, 2020 15:32 UTC GrantCommon Stock 1,554 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-021529 · form4.xml · nonDerivative · entry 1

Holmes Michael · CIK 0001347962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,673

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

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July 13, 2020 Filed Jul 15, 2020 15:35 UTC GrantCommon Stock 777 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-021531 · form4.xml · nonDerivative · entry 1

KENT NEVADA A · CIK 0001697861 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,804

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

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July 13, 2020 Filed Jul 15, 2020 15:27 UTC GrantCommon Stock 1,554 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-021525 · form4.xml · nonDerivative · entry 1

HAVEL JAMES M · CIK 0001602629 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,627

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

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July 13, 2020 Filed Jul 15, 2020 15:24 UTC GrantCommon Stock 915 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-021523 · form4.xml · nonDerivative · entry 1

GUEST ROBERT E JR · CIK 0001203646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,730

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

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July 13, 2020 Filed Jul 15, 2020 15:18 UTC GrantCommon Stock 3,454 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-021521 · form4.xml · nonDerivative · entry 1

Eulich John S · CIK 0001336954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,600

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

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July 13, 2020 Filed Jul 15, 2020 15:16 UTC GrantCommon Stock 915 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-021519 · form4.xml · nonDerivative · entry 1

DECOLA MICHAEL A · CIK 0001417285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,442

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

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June 10, 2020 Filed Jun 12, 2020 13:17 UTC PurchaseCommon Stock 3,000 $34.34 $103,020.00
Disclosure

SEC source: 0001127602-20-019483 · form4.xml · nonDerivative · entry 1

KENT NEVADA A · CIK 0001697861 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,027

F1 · kind: This transaction is pursuant to a 10b5-1 plan.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $33.65 to $35.91, 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 purchased at each separate price with in the ranges set forth in this footnote.

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May 29, 2020 Filed Jun 4, 2020 19:14 UTC
LALLY JAMES BRIANDirector · CEO
OtherCommon Stock 557 $24.96 $13,902.72
Disclosure

SEC source: 0001127602-20-018826 · form4.xml · nonDerivative · entry 1

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,108

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, 2019 through May 31, 2020. 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 29, 2020.

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May 29, 2020 Filed Jun 4, 2020 19:12 UTC
IANNACONE NICOLE MEVP, Chief Risk Officer
OtherCommon Stock 779 $24.96 $19,443.84
Disclosure

SEC source: 0001127602-20-018823 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,215

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, 2019 through May 31, 2020. 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 29, 2020.

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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.