SEC Form 4 · accession 0001209191-17-011237
First Foundation Inc. · FFWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jacob Sonenshine
Director
Period of report
Feb 15, 2017
Accepted (ET)
Feb 15, 2017 · 6:55 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,F2 | Feb 15, 2017 | M | 30,000 | $5.00 | A | 80,816 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF3 | $7.50 | holding | — | — | — | Jan 27, 2012 | Jan 26, 2019 | Common Stock | 3,000 | 3,000 | D |
Explanation of responses
- F1Option Exercise Price
- F2On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's indirect ownership of 25,408 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 ownership of twice as many options with an exercise price being reduced by 50% as of such date