SEC Form 4 · accession 0001104659-18-056488
First Western Financial Inc · MYFW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark L Smith
Director
Period of report
Sep 10, 2018
Accepted (ET)
Sep 12, 2018 · 8:04 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 | Sep 10, 2018 | M | 1,500 | — | A | 40,004 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Make Whole RightF1 | $0.00 | Sep 10, 2018 | M | — | D | — | — | Common Stock | 1,500 | 0 | D |
Explanation of responses
- F1First Western Financial, Inc. (the "Company") issued such shares of the Company's common stock, no par value, pursuant to Make Whole Rights described in the prospectus filed with the SEC pursuant to Rule 424(b)(4) on July 19, 2018.
- F2Includes 1,052 restricted stock units that vest in two equal installments on January 1, 2021, and January 1, 2023, subject to the continued service of the reporting person.