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
February 24, 2023 Filed Feb 28, 2023 20:30 UTC
DUMLAO TROYSVP, Chief Accounting Officer
Exercise / conversionRestricted Share Units · Derivative 245 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007478 · form4.xml · derivative · entry 10

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 488

Underlying: Common Stock · 245 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 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 24, 2025. 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 24, 2025. On each vesting date, for each RSU vesting on such date, the reporting person will receive one share of Common Stock.

Read SEC document
February 24, 2023 Filed Feb 28, 2023 20:30 UTC
DUMLAO TROYSVP, Chief Accounting Officer
Tax withholdingCommon Stock 86 $54.67 $4,701.62
Disclosure

SEC source: 0001127602-23-007478 · form4.xml · nonDerivative · entry 2

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,079

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

Read SEC document
February 24, 2023 Filed Feb 28, 2023 20:30 UTC
DUMLAO TROYSVP, Chief Accounting Officer
Exercise / conversionCommon Stock 245 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007478 · form4.xml · nonDerivative · entry 1

DUMLAO TROY · CIK 0001283697 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,165

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 03, 2023 Filed Feb 7, 2023 18:36 UTC
PONDER MARK GEVP, Chief Admin. Officer
GiftCommon Stock 200 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-003672 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,335

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

F2 · ownership.direct: These shares are held jointly with spouse.

Read SEC document
February 03, 2023 Filed Feb 7, 2023 18:35 UTC SaleCommon Stock 30,000 $55.42 $1,662,600.00
Disclosure

SEC source: 0001127602-23-003668 · form4.xml · nonDerivative · entry 1

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 234,815

F1 · ownership.nature: Shares held jointly in a family trust in which Mr. Sanborn is trustee.

Read SEC document
January 31, 2023 Filed Feb 1, 2023 15:15 UTC SaleCommon Stock 10,000 $53.02 $530,200.00
Disclosure

SEC source: 0001127602-23-002826 · form4.xml · nonDerivative · entry 2

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 264,815

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

Read SEC document
January 30, 2023 Filed Jan 30, 2023 19:05 UTC SaleCommon Stock 53,338 $52.09 $2,778,376.42
Disclosure

SEC source: 0001127602-23-002567 · form4.xml · nonDerivative · entry 3

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:41 UTC
PONDER MARK GEVP, Chief Admin. Officer
Exercise / conversionRestricted Share Units · Derivative 531 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002963 · form4.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 531 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.

F6 · 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.

F10 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

F10 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:41 UTC
PONDER MARK GEVP, Chief Admin. Officer
Tax withholdingCommon Stock 1,358 $51.82 $70,371.56
Disclosure

SEC source: 0001127602-23-002963 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,674

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:41 UTC
PONDER MARK GEVP, Chief Admin. Officer
GrantCommon Stock 2,793 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002963 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,032

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:41 UTC
PONDER MARK GEVP, Chief Admin. Officer
Tax withholdingCommon Stock 259 $51.82 $13,421.38
Disclosure

SEC source: 0001127602-23-002963 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,239

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:41 UTC
PONDER MARK GEVP, Chief Admin. Officer
Exercise / conversionCommon Stock 531 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002963 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,498

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 30, 2023 Filed Feb 1, 2023 22:39 UTC Exercise / conversionRestricted Share Units · Derivative 737 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002958 · form4.xml · derivative · entry 11

Goodman Scott Richard · CIK 0001454515 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 737 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.

F6 · 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.

F10 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

F10 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:39 UTC Tax withholdingCommon Stock 1,588 $51.82 $82,290.16
Disclosure

SEC source: 0001127602-23-002958 · form4.xml · nonDerivative · entry 4

Goodman Scott Richard · CIK 0001454515 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,064

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:39 UTC GrantCommon Stock 3,874 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002958 · form4.xml · nonDerivative · entry 3

Goodman Scott Richard · CIK 0001454515 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,652

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:39 UTC Tax withholdingCommon Stock 276 $51.82 $14,302.32
Disclosure

SEC source: 0001127602-23-002958 · form4.xml · nonDerivative · entry 2

Goodman Scott Richard · CIK 0001454515 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,778

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:39 UTC Exercise / conversionCommon Stock 737 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002958 · form4.xml · nonDerivative · entry 1

Goodman Scott Richard · CIK 0001454515 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,054

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 30, 2023 Filed Feb 1, 2023 22:37 UTC
KEENE S TURNEREVP, Chief Financial Officer
Exercise / conversionRestricted Share Units · Derivative 940 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002956 · form4.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 940 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.

F7 · 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.

F11 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

F11 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:37 UTC
KEENE S TURNEREVP, Chief Financial Officer
Tax withholdingCommon Stock 2,330 $51.82 $120,740.60
Disclosure

SEC source: 0001127602-23-002956 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,563

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:37 UTC
KEENE S TURNEREVP, Chief Financial Officer
GrantCommon Stock 4,944 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002956 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,893

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:37 UTC
KEENE S TURNEREVP, Chief Financial Officer
Tax withholdingCommon Stock 421 $51.82 $21,816.22
Disclosure

SEC source: 0001127602-23-002956 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,949

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:37 UTC
KEENE S TURNEREVP, Chief Financial Officer
Exercise / conversionCommon Stock 940 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002956 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,370

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 30, 2023 Filed Feb 1, 2023 22:36 UTC
LALLY JAMES BRIANDirector · CEO
Exercise / conversionRestricted Share Units · Derivative 1,982 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002952 · form4.xml · derivative · entry 12

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,982 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.

F7 · 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.

F11 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

F11 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:36 UTC
LALLY JAMES BRIANDirector · CEO
Tax withholdingCommon Stock 4,029 $51.82 $208,782.78
Disclosure

SEC source: 0001127602-23-002952 · form4.xml · nonDerivative · entry 4

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,757

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:36 UTC
LALLY JAMES BRIANDirector · CEO
GrantCommon Stock 10,425 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002952 · form4.xml · nonDerivative · entry 3

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,786

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:36 UTC
LALLY JAMES BRIANDirector · CEO
Tax withholdingCommon Stock 749 $51.82 $38,813.18
Disclosure

SEC source: 0001127602-23-002952 · form4.xml · nonDerivative · entry 2

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,361

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:36 UTC
LALLY JAMES BRIANDirector · CEO
Exercise / conversionCommon Stock 1,982 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002952 · form4.xml · nonDerivative · entry 1

LALLY JAMES BRIAN · CIK 0001674404 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,110

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 30, 2023 Filed Feb 1, 2023 22:34 UTC
IANNACONE NICOLE MEVP, Chief Legal Officer
Exercise / conversionRestricted Share Units · Derivative 540 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002950 · form4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 540 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.

F8 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

F8 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:34 UTC
IANNACONE NICOLE MEVP, Chief Legal Officer
Tax withholdingCommon Stock 1,323 $51.82 $68,557.86
Disclosure

SEC source: 0001127602-23-002950 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,767

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:34 UTC
IANNACONE NICOLE MEVP, Chief Legal Officer
GrantCommon Stock 2,838 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002950 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,090

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:34 UTC
IANNACONE NICOLE MEVP, Chief Legal Officer
Tax withholdingCommon Stock 250 $51.82 $12,955.00
Disclosure

SEC source: 0001127602-23-002950 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,252

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:34 UTC
IANNACONE NICOLE MEVP, Chief Legal Officer
Exercise / conversionCommon Stock 540 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002950 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,502

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 30, 2023 Filed Feb 1, 2023 22:32 UTC
BAUCHE DOUGLASChief Credit Officer
Exercise / conversionRestricted Share Units · Derivative 557 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002947 · form4.xml · derivative · entry 11

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 557 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.

F6 · 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.

F10 · derivative.exercise_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

F10 · derivative.expiration_date: The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:32 UTC
BAUCHE DOUGLASChief Credit Officer
Tax withholdingCommon Stock 1,222 $51.82 $63,324.04
Disclosure

SEC source: 0001127602-23-002947 · form4.xml · nonDerivative · entry 4

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,312

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:32 UTC
BAUCHE DOUGLASChief Credit Officer
GrantCommon Stock 2,932 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002947 · form4.xml · nonDerivative · entry 3

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,534

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:32 UTC
BAUCHE DOUGLASChief Credit Officer
Tax withholdingCommon Stock 224 $51.82 $11,607.68
Disclosure

SEC source: 0001127602-23-002947 · form4.xml · nonDerivative · entry 2

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,602

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

Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:32 UTC
BAUCHE DOUGLASChief Credit Officer
Exercise / conversionCommon Stock 557 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-002947 · form4.xml · nonDerivative · entry 1

BAUCHE DOUGLAS · CIK 0001682456 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,826

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 30, 2023 Filed Feb 1, 2023 15:15 UTC SaleCommon Stock 8,200 $52.20 $428,040.00
Disclosure

SEC source: 0001127602-23-002826 · form4.xml · nonDerivative · entry 1

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Foundation

Disclosed balance after: 0

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
January 27, 2023 Filed Jan 30, 2023 19:05 UTC SaleCommon Stock 10,000 $52.00 $520,000.00
Disclosure

SEC source: 0001127602-23-002567 · form4.xml · nonDerivative · entry 2

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,338

Read SEC document
January 26, 2023 Filed Jan 30, 2023 19:05 UTC SaleCommon Stock 15,000 $52.00 $780,000.00
Disclosure

SEC source: 0001127602-23-002567 · form4.xml · nonDerivative · entry 1

SANBORN RICHARD · CIK 0001192274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,338

Read SEC document
January 03, 2023 Filed Jan 5, 2023 20:17 UTC Exercise / conversionPhantom Stock · Derivative 3,007 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-000834 · form4.xml · derivative · entry 5

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,007 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.

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.

F3 · derivative.exercise_date: Shares of common stock will be distributed on January 3, 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 3, 2023, the deferral date identified by the director in accordance with the terms of the Plan.

Read SEC document
January 03, 2023 Filed Jan 5, 2023 20:17 UTC OtherCommon Stock 207 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-000834 · form4.xml · nonDerivative · entry 2

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,214

F1 · kind: Dividend equivalent shares on deferred stock vesting.

Read SEC document
January 03, 2023 Filed Jan 5, 2023 20:17 UTC Exercise / conversionCommon Stock 3,007 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-000834 · form4.xml · nonDerivative · entry 1

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,007

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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January 03, 2023 Filed Jun 6, 2023 18:08 UTC Amendment Exercise / conversionPhantom Stock · Derivative 3,007 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-018019 · form4a.xml · derivative · entry 4

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,007 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.

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.

F3 · derivative.exercise_date: Shares of common stock will be distributed on January 3, 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 3, 2023, the deferral date identified by the director in accordance with the terms of the Plan.

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January 03, 2023 Filed Jun 6, 2023 18:08 UTC Amendment OtherCommon Stock 221 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-018019 · form4a.xml · nonDerivative · entry 3

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,228

F1 · kind: Dividend equivalent shares on deferred stock vesting.

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January 03, 2023 Filed Jun 6, 2023 18:08 UTC Amendment Exercise / conversionCommon Stock 3,007 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-018019 · form4a.xml · nonDerivative · entry 2

VAN TREASE SANDRA · CIK 0001315830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,007

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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December 19, 2022 Filed Dec 21, 2022 20:06 UTC
Young Lina ADirector
GrantCommon Stock 462 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-028065 · form4.xml · nonDerivative · entry 1

Young Lina A · CIK 0001958388 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 462

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

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December 19, 2022 Filed Dec 21, 2022 20:05 UTC GrantCommon Stock 462 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-028063 · form4.xml · nonDerivative · entry 1

Manjarrez Marcela · CIK 0001958371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 462

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

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December 19, 2022 Filed Dec 21, 2022 20:03 UTC
Andrich LyneDirector
GrantCommon Stock 462 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-028061 · form4.xml · nonDerivative · entry 1

Andrich Lyne · CIK 0001958362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 462

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

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December 08, 2022 Filed Dec 12, 2022 20:23 UTC Amendment GrantCommon Stock 201 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-027276 · form4a.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.

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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.