SEC Form 4 · accession 0001104659-18-066103
First Western Financial Inc · MYFW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph C. Zimlich
Director
Period of report
Nov 1, 2018
Accepted (ET)
Nov 5, 2018 · 9:04 pm EST
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 | Nov 1, 2018 | A | 1,915 | $0.00 | A | 27,177 | D | |
| Common StockF2 | holding | — | — | — | 90,146 | I | By Bohemian Investments, LLC | |
| Common StockF3 | holding | — | — | — | 108,597 | I | By BOCO Investments, LLC | |
| Common StockF4 | holding | — | — | — | 114,441 | I | By L. Lee Stryker Irrevocable Trust UAD 09-10-1974 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,915 restricted stock units awarded pursuant to the First Western Financial, Inc. 2016 Omnibus Incentive Plan, as amended and restated, that vest in two substantially equal installments on November 1, 2021, and November 1, 2023, subject to the continued service of the reporting person.
- F2The reporting person serves as Managing Member of the sole member of Bohemian Investments, LLC, and has voting and dispositive power over the shares held by Bohemian Investments, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities 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.
- F3The reporting person serves as President of the Managing Member of BOCO Investments, LLC and has voting and dispositive power over the shares held by BOCO Investments, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities 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.
- F4The reporting person serves as President of Bohemian Asset Management, LLC, which is the agent for PS Family Advisors, LLC, and is authorized to make investment decisions on behalf of the L. Lee Stryker Irrevocable Trust UAD 09-10-1974. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities 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.