SEC Form 4 · accession 0001209191-16-137058
First Foundation Inc. · FFWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Victoria Collins
Director
Period of report
Aug 12, 2016
Accepted (ET)
Aug 15, 2016 · 6:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001413837
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 15, 2016 | M | 40,500 | $10.00 | A | 372,259 | I | by Family trust |
| Common Stock | Aug 15, 2016 | M | 5,000 | $15.00 | A | 377,259 | I | by Family trust |
| Common Stock | Aug 1, 2016 | S | 14,000 | $24.71 | D | 363,259 | I | by Family trust |
| Common Stock | Aug 1, 2016 | S | 5,476 | $24.72 | D | 357,783 | I | by Family trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | $10.00 | Aug 15, 2016 | M | 40,500 | D | Sep 17, 2008 | Sep 16, 2017 | Common Stock | 40,500 | 0 | D |
| Common stock | $15.00 | Aug 15, 2016 | M | 5,000 | D | Jan 26, 2010 | Jan 26, 2019 | Common Stock | 5,000 | 0 | D |