SEC Form 5 · accession 0001209191-19-012440
First Foundation Inc. · FFWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ulrich E. Keller Jr.
Officer — Chairman · Director
Period of report
Dec 31, 2018
Accepted (ET)
Feb 22, 2019 · 12:08 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 | holding | — | — | — | 2,191,770 | I | by family trust | |
| Common Stock | holding | — | — | — | 20,000 | D | ||
| Common stock | holding | — | — | — | 200,000 | I | by spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option | $8.25 | holding | — | — | — | Oct 25, 2014 | Oct 24, 2024 | Common stock | 80,000 | 80,000 | D |