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First Foundation Inc. — Director's Dealing 2013
Dec 16, 2013
32898_dirs_2013-12-16_97aba617-2eb4-405e-a7f0-b0cca537c414.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: First Foundation Inc. (NONE)
CIK: 0001413837
Period of Report: 2013-12-16
Reporting Person: KELLER ULRICH E. JR (Director, EXECUTIVE CHAIRMAN, 10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 10000 | Direct |
| Common Stock | 1190585 | Indirect |
| Common Stock | 100000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $11.00 | 2017-09-17 | Common Stock (40500) | Direct | |
| Employee Stock Option (right to buy) | $16.50 | 2019-01-27 | Common Stock (15000) | Direct | |
| Employee Stock Option (right to buy) | $16.50 | 2021-10-25 | Common Stock (40000) | Direct |
Footnotes
F1: This option became exercisable in three equal annual installments on September 17, 2008, 2009 and 2010, respectively.
F2: This option became exercisable in three equal annual installments on January 27, 2010, 2011 and 2012, respectively.
F3: This option became exercisable as to 13,333 shares on October 25, 2012 and an additional 13,333 shares on October 25, 2013. The remaining shares will become exercisable on October 25, 2014, subject to the reporting person's continued service with the Company at least to that date.