Tapewire

Nasdaq · USD

EFSC

ENTERPRISE FINANCIAL SERVICES CORP

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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

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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 13, 2019 Filed Dec 17, 2019 13:11 UTC GrantCommon Stock 194 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-035115 · form4.xml · nonDerivative · entry 1

GUEST ROBERT E JR · CIK 0001203646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,815

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

Read SEC document
December 13, 2019 Filed Dec 17, 2019 13:02 UTC GrantPhantom Stock · Derivative 301 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-035111 · form4.xml · derivative · entry 2

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,007

Underlying: Common Stock · 301 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.

F2 · shares: Such units are payable solely in common stock and subject to the terms and conditions of the director's deferral election and the Plan.

F1 · 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 · derivative.exercise_date: Shares of common stock will be distributed on January 1, 2023, the deferral date identified by the director in accordance with the terms of the Plan.

F3 · derivative.expiration_date: Shares of common stock will be distributed on January 1, 2023, the deferral date identified by the director in accordance with the terms of the Plan.

Read SEC document
December 09, 2019 Filed Dec 11, 2019 16:20 UTC SaleCommon Stock 2,000 $45.31 $90,620.00
Disclosure

SEC source: 0001127602-19-034726 · form4.xml · nonDerivative · entry 1

Goodman Scott Richard · CIK 0001454515 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,872

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

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.30 to $45.37, inclusive. The reporting person undertakes to provide to 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 29, 2019 Filed Dec 6, 2019 20:55 UTC
IANNACONE NICOLE MEVP, Chief Risk Officer
OtherCommon Stock 274 $33.56 $9,195.44
Disclosure

SEC source: 0001127602-19-034439 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,877

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, 2019 through November 30, 2019. 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 3, 2019.

Read SEC document
November 29, 2019 Filed Dec 6, 2019 20:54 UTC
BAUCHE DOUGLASChief Credit Officer
OtherCommon Stock 178 $33.56 $5,973.68
Disclosure

SEC source: 0001127602-19-034437 · form4.xml · nonDerivative · entry 1

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,808

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, 2019 through November 30, 2019. 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 3, 2019.

Read SEC document
November 29, 2019 Filed Dec 6, 2019 20:52 UTC
DUMLAO TROYSVP, Chief Accounting Officer
OtherCommon Stock 190 $33.56 $6,376.40
Disclosure

SEC source: 0001127602-19-034435 · form4.xml · nonDerivative · entry 1

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190

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, 2019 through November 30, 2019. 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 3, 2019.

Read SEC document
November 29, 2019 Filed Dec 6, 2019 20:49 UTC
PONDER MARK GEVP, Chief Admin. Officer
OtherCommon Stock 182 $33.56 $6,107.92
Disclosure

SEC source: 0001127602-19-034429 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,727

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, 2019 through November 30, 2019. 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 3, 2019.

Read SEC document
November 21, 2019 Filed Nov 22, 2019 20:41 UTC
BAUCHE DOUGLASChief Credit Officer
GiftCommon Stock 50 $44.60 $2,230.00
Disclosure

SEC source: 0001127602-19-033550 · form4.xml · nonDerivative · entry 1

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,630

Read SEC document
November 08, 2019 Filed Nov 12, 2019 19:14 UTC
BAUCHE DOUGLASChief Credit Officer
SaleCommon Stock 650 $45.61 $29,646.50
Disclosure

SEC source: 0001127602-19-032459 · form4.xml · nonDerivative · entry 1

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,680

Read SEC document
November 05, 2019 Filed Nov 7, 2019 14:09 UTC GiftCommon Stock 436 $45.62 $19,890.32
Disclosure

SEC source: 0001127602-19-032104 · form4.xml · nonDerivative · entry 1

HEETER JUDITH S · CIK 0001541798 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,477

Read SEC document
September 19, 2019 Filed Sep 20, 2019 14:00 UTC OtherCommon Stock 33,785 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-028840 · form4.xml · nonDerivative · entry 1

GUEST ROBERT E JR · CIK 0001203646 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Children Trust

Disclosed balance after: 0

F1 · kind: Ditribution from Trust.

Read SEC document
July 12, 2019 Filed Jul 16, 2019 20:02 UTC GrantCommon Stock 1,106 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-024603 · form4.xml · nonDerivative · entry 1

HAVEL JAMES M · CIK 0001602629 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,640

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

Read SEC document
July 12, 2019 Filed Jul 16, 2019 20:05 UTC GrantCommon Stock 1,303 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-024607 · form4.xml · nonDerivative · entry 1

Holmes Michael · CIK 0001347962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,774

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

Read SEC document
July 12, 2019 Filed Jul 16, 2019 20:10 UTC GrantCommon Stock 2,458 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-024616 · form4.xml · nonDerivative · entry 1

Eulich John S · CIK 0001336954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,809

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

Read SEC document
July 12, 2019 Filed Jul 16, 2019 20:09 UTC GrantPhantom Stock · Derivative 1,352 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-024614 · form4.xml · derivative · entry 2

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,706

Underlying: Common Stock · 1,352 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.

F1 · 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.

F2 · derivative.exercise_date: Shares of common stock will be distributed on January 1, 2023, 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, 2023, the deferral date identified by the director in accordance with the terms of the Plan.

F3 · derivative.underlying_shares: Such units are payable solely in common stock and subject to the terms and conditions of the director's deferral election and the Plan.

Read SEC document
July 12, 2019 Filed Jul 16, 2019 20:08 UTC GrantCommon Stock 553 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-024612 · form4.xml · nonDerivative · entry 1

Schmitz Eloise · CIK 0001407933 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,771

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

Read SEC document
July 12, 2019 Filed Jul 16, 2019 19:59 UTC GrantCommon Stock 553 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-024596 · form4.xml · nonDerivative · entry 1

DECOLA MICHAEL A · CIK 0001417285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,333

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

Read SEC document
July 12, 2019 Filed Jul 16, 2019 20:06 UTC GrantCommon Stock 553 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-024610 · form4.xml · nonDerivative · entry 1

KENT NEVADA A · CIK 0001697861 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,822

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

Read SEC document
July 12, 2019 Filed Jul 16, 2019 20:03 UTC GrantCommon Stock 627 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-024605 · form4.xml · nonDerivative · entry 1

HEETER JUDITH S · CIK 0001541798 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,913

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

Read SEC document
July 12, 2019 Filed Jul 16, 2019 20:00 UTC GrantCommon Stock 651 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-024599 · form4.xml · nonDerivative · entry 1

GUEST ROBERT E JR · CIK 0001203646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,621

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

Read SEC document
May 31, 2019 Filed Jun 6, 2019 16:00 UTC
BAUCHE DOUGLASChief Credit Officer
OtherCommon Stock 305 $33.31 $10,159.55
Disclosure

SEC source: 0001127602-19-020978 · form4.xml · nonDerivative · entry 1

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,330

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, 2018 through May 31, 2019. 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, 2019.

Read SEC document
May 31, 2019 Filed Jun 6, 2019 16:02 UTC
IANNACONE NICOLE MEVP, Chief Risk Officer
OtherCommon Stock 514 $33.31 $17,121.34
Disclosure

SEC source: 0001127602-19-020980 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,603

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, 2018 through May 31, 2019. 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, 2019.

Read SEC document
May 31, 2019 Filed Jun 6, 2019 15:58 UTC
KEENE S TURNEREVP, Chief Financial Officer
OtherCommon Stock 565 $33.31 $18,820.15
Disclosure

SEC source: 0001127602-19-020974 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,186

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, 2018 through May 31, 2019. 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, 2019.

Read SEC document
May 31, 2019 Filed Jun 6, 2019 15:59 UTC
PONDER MARK GEVP, Chief Admin. Officer
OtherCommon Stock 294 $33.31 $9,793.14
Disclosure

SEC source: 0001127602-19-020976 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,545

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, 2018 through May 31, 2019. 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, 2019.

Read SEC document
May 31, 2019 Filed Jun 6, 2019 15:56 UTC
LALLY JAMES BRIANDirector · CEO
OtherCommon Stock 752 $33.31 $25,049.12
Disclosure

SEC source: 0001127602-19-020972 · form4.xml · nonDerivative · entry 1

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,692

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, 2018 through May 31, 2019. 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, 2019.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 19:27 UTC
BAUCHE DOUGLASChief Credit Officer
Exercise / conversionRestricted Share Units · Derivative 125 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012128 · form4.xml · derivative · entry 4

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 125 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 RSUs were granted pursuant to the Company's 2013 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 March 15, 2019. 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 March 15, 2019. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 19:27 UTC
BAUCHE DOUGLASChief Credit Officer
Tax withholdingCommon Stock 38 $43.14 $1,639.32
Disclosure

SEC source: 0001127602-19-012128 · form4.xml · nonDerivative · entry 2

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,025

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

Read SEC document
March 15, 2019 Filed Mar 19, 2019 19:27 UTC
BAUCHE DOUGLASChief Credit Officer
Exercise / conversionCommon Stock 125 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012128 · form4.xml · nonDerivative · entry 1

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,063

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 27, 2019 Filed Mar 1, 2019 15:17 UTC
WHITE LOREN ESVP, Human Resources
GrantRestricted Share Units · Derivative 349 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-009086 · form4.xml · derivative · entry 2

WHITE LOREN E · CIK 0001601510 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349

Underlying: Common Stock · 349 shares

Expires not disclosed

F1 · 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.

F1 · 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.

F2 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

F2 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 15:15 UTC
IANNACONE NICOLE MEVP, Chief Risk Officer
GrantRestricted Share Units · Derivative 391 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-009084 · form4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391

Underlying: Common Stock · 391 shares

Expires not disclosed

F1 · 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.

F1 · 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.

F2 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

F2 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 15:14 UTC
PONDER MARK GEVP, Chief Admin. Officer
GrantRestricted Share Units · Derivative 390 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-009082 · form4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390

Underlying: Common Stock · 390 shares

Expires not disclosed

F1 · 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.

F1 · 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.

F2 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

F2 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 15:12 UTC
BAUCHE DOUGLASChief Credit Officer
GrantRestricted Share Units · Derivative 453 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-009079 · form4.xml · derivative · entry 3

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 453

Underlying: Common Stock · 453 shares

Expires not disclosed

F2 · 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.

F2 · 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.

F3 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

F3 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 15:10 UTC GrantRestricted Share Units · Derivative 616 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-009076 · form4.xml · derivative · entry 3

Goodman Scott Richard · CIK 0001454515 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 616

Underlying: Common Stock · 616 shares

Expires not disclosed

F2 · 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.

F2 · 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.

F3 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

F3 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 15:08 UTC
KEENE S TURNEREVP, Chief Financial Officer
GrantRestricted Share Units · Derivative 670 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-009074 · form4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 670

Underlying: Common Stock · 670 shares

Expires not disclosed

F2 · 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.

F2 · 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.

F3 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

F3 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 15:06 UTC GrantRestricted Share Units · Derivative 1,531 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-009072 · form4.xml · derivative · entry 4

LALLY JAMES BRIAN · CIK 0001674404 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,531

Underlying: Common Stock · 1,531 shares

Expires not disclosed

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.

F3 · 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 RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

F4 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.

Read SEC document
February 21, 2019 Filed Feb 25, 2019 15:20 UTC SaleCommon Stock 1,000 $46.49 $46,490.00
Disclosure

SEC source: 0001127602-19-007894 · form4.xml · nonDerivative · entry 1

Goodman Scott Richard · CIK 0001454515 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,872

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

Read SEC document
January 24, 2019 Filed Jan 28, 2019 17:52 UTC
WHITE LOREN ESVP, Human Resources
Tax withholdingCommon Stock 721 $45.91 $33,101.11
Disclosure

SEC source: 0001127602-19-002800 · form4.xml · nonDerivative · entry 2

WHITE LOREN E · CIK 0001601510 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,377

F2 · shares: Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

Read SEC document
January 24, 2019 Filed Jan 28, 2019 17:52 UTC
WHITE LOREN ESVP, Human Resources
GrantCommon Stock 2,055 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-002800 · form4.xml · nonDerivative · entry 1

WHITE LOREN E · CIK 0001601510 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,098

F1 · kind: The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.

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January 24, 2019 Filed Jan 28, 2019 17:50 UTC
KEENE S TURNEREVP, Chief Financial Officer
Tax withholdingCommon Stock 2,429 $45.91 $111,515.39
Disclosure

SEC source: 0001127602-19-002796 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,621

F2 · shares: Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

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January 24, 2019 Filed Jan 28, 2019 17:50 UTC
KEENE S TURNEREVP, Chief Financial Officer
GrantCommon Stock 5,151 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-002796 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,050

F1 · kind: The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.

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January 24, 2019 Filed Jan 28, 2019 17:48 UTC
PONDER MARK GEVP, Chief Admin. Officer
Tax withholdingCommon Stock 1,526 $45.91 $70,058.66
Disclosure

SEC source: 0001127602-19-002794 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,251

F2 · shares: Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

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January 24, 2019 Filed Jan 28, 2019 17:48 UTC
PONDER MARK GEVP, Chief Admin. Officer
GrantCommon Stock 3,096 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-002794 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,777

F1 · kind: The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.

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January 24, 2019 Filed Jan 28, 2019 17:42 UTC
IANNACONE NICOLE MEVP, Chief Risk Officer
Tax withholdingCommon Stock 264 $45.91 $12,120.24
Disclosure

SEC source: 0001127602-19-002790 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,089

F2 · shares: Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

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January 24, 2019 Filed Jan 28, 2019 17:42 UTC
IANNACONE NICOLE MEVP, Chief Risk Officer
GrantCommon Stock 752 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-002790 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,353

F1 · kind: The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.

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January 24, 2019 Filed Jan 28, 2019 17:44 UTC Tax withholdingCommon Stock 1,495 $45.91 $68,635.45
Disclosure

SEC source: 0001127602-19-002792 · form4.xml · nonDerivative · entry 2

LALLY JAMES BRIAN · CIK 0001674404 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,940

F2 · shares: Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

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January 24, 2019 Filed Jan 28, 2019 17:44 UTC GrantCommon Stock 4,631 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-002792 · form4.xml · nonDerivative · entry 1

LALLY JAMES BRIAN · CIK 0001674404 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,435

F1 · kind: The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.

Read SEC document
January 24, 2019 Filed Jan 28, 2019 17:41 UTC Tax withholdingCommon Stock 2,197 $45.91 $100,864.27
Disclosure

SEC source: 0001127602-19-002788 · form4.xml · nonDerivative · entry 2

Goodman Scott Richard · CIK 0001454515 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,872

F2 · shares: Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

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January 24, 2019 Filed Jan 28, 2019 17:41 UTC GrantCommon Stock 4,631 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-002788 · form4.xml · nonDerivative · entry 1

Goodman Scott Richard · CIK 0001454515 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,069

F1 · kind: The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.

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January 24, 2019 Filed Jan 28, 2019 17:39 UTC
BAUCHE DOUGLASChief Credit Officer
Tax withholdingCommon Stock 1,059 $45.91 $48,618.69
Disclosure

SEC source: 0001127602-19-002786 · form4.xml · nonDerivative · entry 2

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,938

F2 · shares: Withholding of stock to satisfy tax withholding obligation on issuance of common stock.

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January 24, 2019 Filed Jan 28, 2019 17:39 UTC
BAUCHE DOUGLASChief Credit Officer
GrantCommon Stock 3,096 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-002786 · form4.xml · nonDerivative · entry 1

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,997

F1 · kind: The shares of common stock were awarded pursuant to the Company's 2018 Stock Incentive Plan.

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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.