SEC Form 4 · accession 0001209191-17-007912

First Foundation Inc. · FFWM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Feb 3, 2017

Accepted (ET)

Feb 3, 2017 · 8:05 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 Stock^F1,F2,F3	Feb 3, 2017	M	3,090	—	A	795,114	I	by family trust
Common Stock^F4	holding	—	—		—	70,000	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
RSU^F1,F2	—	holding	—	—	—	Feb 2, 2018	Feb 3, 2018	Common Stock	3,090	3,090	D
Option^F5	$5.00	holding	—	—	—	Sep 17, 2010	Sep 16, 2017	Common Stock	320,000	320,000	D
Option^F5	$7.50	holding	—	—	—	Jan 27, 2012	Jan 26, 2019	Common stock	40,000	40,000	D
Option^F5	$7.50	holding	—	—	—	Oct 25, 2014	Oct 25, 2021	Common Stock	160,000	160,000	D

F1On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's ownership of twice as many RSUs as of such date
F2Restricted stock unit grant, no exercise price
F3On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's indirect ownership of 396,012 additional shares of common stock as of such date
F4On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's direct ownership of 35,000 additional shares of common stock as of such date
F5On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's ownership of twice as many options with an exercise price being reduced by 50% as of such date