SEC Form 4 · accession 0001209191-17-010821
First Foundation Inc. · FFWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Warren D Fix
Director
Period of report
Feb 14, 2017
Accepted (ET)
Feb 14, 2017 · 6:56 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 | Feb 14, 2017 | M | 30,000 | $5.00 | A | 79,816 | I | by trust |
| Common Stock | Feb 14, 2017 | M | 3,000 | $7.50 | A | 82,816 | I | by trust |
| Common StockF2 | holding | — | — | — | 11,800 | I | by spouse | |
| Common StockF3 | holding | — | — | — | 73,234 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's indirect ownership of 24,908 additional shares of common stock as of such date
- F2On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's indirect ownership of 5,900 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 36,617 additional shares of common stock as of such date.