SEC Form 4 · accession 0001209191-17-016299
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 28, 2017
Accepted (ET)
Mar 2, 2017 · 11:21 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 Stock | holding | — | — | — | 82,816 | I | by family trust | |
| Common Stock | holding | — | — | — | 11,800 | I | by spouse | |
| Common Stock | holding | — | — | — | 73,234 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | — | Feb 28, 2017 | A | 915 | A | May 28, 2017 | May 28, 2017 | Common Stock | 915 | 915 | D |
Explanation of responses
- F1Restricted stock unit grant, no exercise price