Keller Ulrich E. Jr's Form 4 filing
First Foundation Inc. (FFWM) · filed Sep 9, 2021
- Accession no.
- 0001593968-21-002102
- Filed
- Sep 9, 2021
- Trade date
- Sep 7-9, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $366.9K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Keller Ulrich E. JrCIK 0001594279 | Director, Officer (Chairman) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 7, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $8.25F1 | +$41,250 | 25,687 | Direct | |
| Sep 7, 2021 | Common Stock | SSaleDisposed | −5,000 | $24.51 | −$122,550 | 20,687 | Direct | |
| Sep 8, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $8.25F1 | +$41,250 | 25,687 | Direct | |
| Sep 8, 2021 | Common Stock | SSaleDisposed | −5,000 | $24.35 | −$121,750 | 20,687 | Direct | |
| Sep 9, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $8.25F1 | +$41,250 | 25,687 | Direct | |
| Sep 9, 2021 | Common Stock | SSaleDisposed | −5,000 | $24.53 | −$122,650 | 20,687 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 7, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 15,000 | Direct | |
| Sep 8, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 10,000 | Direct | |
| Sep 9, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 5,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Option exercise price.
Referenced by the price of 3 transactions in Table I.