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FORM 4
[ ] Check this box if no longer
subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
Eichner, Kevin
(Last) (First) (Middle)
150 North Meramec
(Street)
St. Louis, MO 63105
(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol Enterprise Financial Services Corp
EFSC 3. I.R.S. Identification
Number of Reporting Person, if an entity (voluntary) 43-1706259
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4. Statement for (Month/Day/Year 01/10/2003
5. If Amendment, Date of Original (Month/Day/Year) |
6. Relationship of Reporting Person(s) to Issuer
(Check all applicable) Director
10% Owner
X Officer (give title below)
Other (specify below)
Description
President and CEO
7. Individual or Joint/Group
Filing (Check Applicable Line) X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1. Title of Security (Instr. 3) |
2.Transaction
Date (Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4, and 5) |
5. Amount of
Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) |
6. Owner-
ship Form: Direct (D) or Indirect (I) (Instr. 4) |
7. Nature of
Indirect Beneficial Ownership (Instr. 4) |
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Code
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V
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Amount
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A/D
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Price
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Common Stock
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01/10/2003
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J (1)
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100,000
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D
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$ (note 1)
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38,550
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D
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Common Stock
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01/10/2003
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J (1)
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100,000
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A
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$(note 1)
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I
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MEH (note 2)
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Common Stock
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01/10/2003
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P
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185,200
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A
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$13.00
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285,200
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I
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MEH (note 2)
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Common Stock
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$
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90,000
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I
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By Trust
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Common Stock
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$
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9,101
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I
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EBSP III (note 3)
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security
(Instr. 3) |
2. Conver-
sion or Exercise Price of Deri- vative Security |
3. Transaction Date
(Month/ Day/ Year) |
3A. Deemed Execution Date, if any
(Month/ Day/ Year) |
4. Transaction Code (Instr.8) |
5. Number of Derivative Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
6. Date Exercisable(DE) and
Expiration Date(ED) (Month/Day/Year) |
7. Title and Amount of
Underlying Securities (Instr. 3 and 4) |
8. Price
of Derivative Security (Instr.5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.4) |
10. Owner- ship Form of Deriv- ative Securities: Direct (D) or Indirect (I) (Instr.4) |
11. Nature of Indirect Beneficial Ownership (Instr.4) |
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Code
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V
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A
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D
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DE
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ED
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Title
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Amount or Number of Shares
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| Incentive Stock Option (right to buy) | $5.33 |
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04/01/2007
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Common Stock
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30,000
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$
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30,000
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D
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| Incentvie Stock Option (right to buy) | $11.75 |
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07/01/2011
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Common Stock
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5,000
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$
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5,000
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D
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| Incentive Stock Option (right to buy) | $15.00 |
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09/01/2010
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Common Stock
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5,000
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$
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5,000
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D
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| Non-Qualified Stock Option (right to buy) | $9.30 |
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Common Stock
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82,905
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$
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82,905
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D
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1.(applies to columns 3 & 4 in the first two 1/10/03 entries): Contributed by the Reporting Person to Meramec Enterprise Holdings, LLC ("MEH") in exchange for a number of Units to be determined based upon the average purchase price of additional shares of common stock acquired from unaffiliated parties.
2. (applies to column 7 in the second and third 1/10/03 entries): The Reporting Person is the sole Manager of MEH and controls voting, acquisition and disposition of shares held by MEH. The relative residual equity interest of the Reporting Person in shares held by MEH will fluctuate based upon the value of the shares and the priority return due other investors in MEH. Additional information is available in a Schedule 13D filed by the Reporting Person and MEH dated January 13, 2003. 3. (applies to column 7 as to the EBSP III entry). The Reporting Person holds a one-eight interest in EBSP III, LLC whose sole asset is 72,808 shares of EFSC common stock. The Reporting Person disclaims any beneficial ownership except as to his one-eighth interest in such holdings. This corrects clerical error in prior reports listing number as 9,107 rather than 9,101. |
| By: | Date: |
| /s/ Kevin Eichner by Power of Attorney | 01/14/2003 |
| ** Signature of Reporting Person | SEC 1474 (9-02) |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |