Filing Details
- Accession Number:
- 0001209191-17-015748
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-01 15:25:16
- Reporting Period:
- 2017-02-28
- Filing Date:
- 2017-03-01
- Accepted Time:
- 2017-03-01 15:25:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1413837 | First Foundation Inc. | FFWM | State Commercial Banks (6022) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1594279 | Jr E. Ulrich Keller | 18101 Von Karman Suite 700 Irvine CA 92612 | Chairman | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2017-02-28 | 5,000 | $16.46 | 2,306,170 | No | 4 | S | Indirect | by family trust |
| Common Stock | Disposition | 2017-03-01 | 5,000 | $16.58 | 2,301,170 | No | 4 | S | Indirect | by family trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | by family trust |
| No | 4 | S | Indirect | by family trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 200,000 | Indirect | by wife |
| Common Stock | 20,000 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Option | $5.50 | 2010-09-17 | 2017-09-16 | 81,000 | 81,000 | Direct |
| Common Stock | Option | $8.25 | 2012-01-27 | 2019-01-26 | 30,000 | 30,000 | Direct |
| Common Stock | Option | $8.25 | 2014-10-25 | 2021-10-24 | 80,000 | 80,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-09-16 | 81,000 | 81,000 | Direct |
| 2019-01-26 | 30,000 | 30,000 | Direct |
| 2021-10-24 | 80,000 | 80,000 | Direct |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 31, 2016
- On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's ownership of twice as many options with an exercise price being reduced by 50% as of such date
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