SEC Form 4 · accession 0001104659-18-046335
First Western Financial Inc · MYFW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Duncan
Director
Period of report
Jul 18, 2018
Accepted (ET)
Jul 20, 2018 · 7:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001327607
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jul 18, 2018 | A | 25,000 | $19.00 | A | 178,177 | I | By Rawah Partners , LLC |
| Common StockF3 | holding | — | — | — | 3,201 | D | ||
| Common StockF4 | holding | — | — | — | 8,772 | I | By Electra Energy Company |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock, no par value ("Common Stock") of the issuer purchased through a directed share program in connection with the initial public offering of the Common Stock.
- F2The reporting person serves as Manager of Rawah Partners, LLC. 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 shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
- F3Includes 701 restricted stock units that vest in two substantially equal installments on January 1, 2021, and January 1, 2023, subject to the continued service of the reporting person.
- F4The 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.