SEC Form 4/A · accession 0001209191-17-006917
First Foundation Inc. · FFWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ulrich E. Keller Jr.
Officer — Chairman · Director
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 11:17 am 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 StockF2 | Jan 31, 2017 | S | 10,000 | $14.31 | D | 2,511,170 | I | by family trust |
| Common StockF3 | holding | — | — | — | 20,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 31, 2016
- F2On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's indirect ownership of 1,260,585 additional shares of common stock as of such date
- F3On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's direct ownership of 10,000 additional shares of common stock as of such date