SEC Form 4 · accession 0001209191-19-014393
First Foundation Inc. · FFWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Michel
Officer — Chief Financial Officer
Period of report
Feb 26, 2019
Accepted (ET)
Feb 28, 2019 · 2:12 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 26, 2019 | M | 1,533 | — | A | 51,494 | I | by family trust |
| Common stockF1 | Feb 27, 2019 | M | 1,289 | — | A | 52,783 | I | by family trust |
| Common stockF1 | Feb 28, 2019 | M | 1,271 | — | A | 54,054 | I | by family trust |
| Common stock | holding | — | — | — | 37,000 | 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 26, 2019 | A | 3,066 | A | Feb 26, 2020 | Feb 26, 2021 | Common stock | 3,066 | 3,066 | D |
| Restricted Stock UnitF1 | — | holding | — | — | — | Feb 27, 2020 | Feb 27, 2020 | Common stock | 1,289 | 1,289 | D |
| Stock Option | $7.50 | holding | — | — | — | Oct 25, 2014 | Oct 24, 2021 | Common stock | 80,000 | 80,000 | D |
Explanation of responses
- F1Restricted stock unit grant, no exercise price