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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
RSU | (2) | 02/02/2018 | 02/03/2018 | Common Stock | 3,090 (1) | 3,090 (1) | D | ||||||||
Option | $ 5 (5) | 09/17/2010 | 09/16/2017 | Common Stock | 320,000 (5) | 320,000 (5) | D | ||||||||
Option | $ 7.5 (5) | 01/27/2012 | 01/26/2019 | Common stock | 40,000 (5) | 40,000 (5) | D | ||||||||
Option | $ 7.5 (5) | 10/25/2014 | 10/25/2021 | Common Stock | 160,000 (5) | 160,000 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KAVANAUGH SCOTT F 18101 VON KARMAN SUITE 700 IRVINE, CA 92612 |
X | Chief Executive Officer |
'/s/ John M Michel attorney in fact for Scott F. Kavanaugh' | 02/03/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's ownership of twice as many RSUs as of such date |
(2) | Restricted stock unit grant, no exercise price |
(3) | On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's indirect ownership of 396,012 additional shares of common stock as of such date |
(4) | On January 18, 2017 First Foundation Inc.'s common stock split 2 for 1, resulting in the reporting person's direct ownership of 35,000 additional shares of common stock as of such date |
(5) | On 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 |