SEC Form 4 · accession 0001209191-16-152804
First Foundation Inc. · FFWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James G Brakke
Director
Period of report
Nov 30, 2016
Accepted (ET)
Dec 1, 2016 · 8:22 pm EST
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 stockF1 | Nov 30, 2016 | M | 558 | — | A | 47,968 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F1 | — | Nov 30, 2016 | M | 558 | D | Nov 30, 2016 | Nov 30, 2016 | Common Stock | 558 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right one share of common stock
- F2Restricted stock unit grant, no exercise price