Filing Details

Accession Number:
0001415889-21-005828
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-12-10 16:40:32
Reporting Period:
2021-12-09
Accepted Time:
2021-12-10 16:40:32
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1327607 First Western Financial Inc MYFW State Commercial Banks (6022) 371442266
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1744991 R David Duncan 1900 16Th Street, Suite 1200
Denver CO 80202
No No 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 Acquisiton 2021-12-09 4,087 $25.00 38,829 No 4 M Direct
Common Stock Disposition 2021-12-09 3,568 $29.70 35,261 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option Right to Buy Disposition 2021-12-09 4,087 $0.00 4,087 $25.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2022-01-17 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 13,158 Indirect By Electra Energy Company
Common Stock 42,160 Indirect Sara C. Duncan GST Exempt Marital Trust
Footnotes
  1. The reporting person has shared voting and investment control over the securities held by Electra Energy Company by through DKD, LLC, a limited liability company of which the reporting person is the sole member. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Exchange Act or for any other purpose.
  2. The reporting person is the trustee of this trust. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
  3. The stock options were granted on January 17, 2012. 20% of the options vested immediately and the remainder vested 20% annually for four years.