SEC Form 4 · accession 0001209191-17-016316
First Foundation Inc. · FFWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mitchell M. Rosenberg
Director
Period of report
Feb 28, 2017
Accepted (ET)
Mar 2, 2017 · 11:45 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 stockF1 | holding | — | — | — | 37,816 | I | by trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2 | — | Feb 28, 2017 | A | 915 | A | May 28, 2017 | May 28, 2017 | Common stock | 915 | 915 | D |
| OptionF3 | $5.00 | holding | — | — | — | Sep 17, 2010 | Sep 16, 2017 | Common Stock | 15,000 | 15,000 | D |
| OptionF3 | $7.50 | holding | — | — | — | Jan 27, 2012 | Jan 26, 2019 | Common Stock | 3,000 | 3,000 | D |
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 18,908 additional shares of common stock 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 ownership of twice as many options with an exercise price being reduced by 50% as of such date