4//SEC Filing
Zimlich Joseph C. 4
Accession 0001104659-18-056491
CIK 0001327607other
Filed
Sep 11, 8:00 PM ET
Accepted
Sep 12, 8:06 PM ET
Size
14.5 KB
Accession
0001104659-18-056491
Insider Transaction Report
Form 4
Zimlich Joseph C.
Director
Transactions
- Exercise/Conversion
Make Whole Right
2018-09-10→ 0 totalExercise: $0.00→ Common Stock (875 underlying) - Exercise/Conversion
Common Stock
2018-09-10+8,772→ 90,146 total(indirect: By LLC) - Exercise/Conversion
Common Stock
2018-09-10+875→ 25,262 total - Exercise/Conversion
Make Whole Right
2018-09-10→ 0 total(indirect: By LLC)Exercise: $0.00→ Common Stock (8,772 underlying)
Holdings
- 108,597(indirect: By LLC)
Common Stock
- 114,441(indirect: By Trust)
Common Stock
Footnotes (5)
- [F1]First Western Financial, Inc. (the "Company") issued such shares of the Company's common stock, no par value, pursuant to Make Whole Rights described in the prospectus filed with the SEC pursuant to Rule 424(b)(4) on July 19, 2018.
- [F2]Includes 701 restricted stock units that vest in two substantially equal installments on January 1, 2021, and January 1, 2023, subject to the continued service of the reporting person.
- [F3]The reporting person serves as Managing Member of the sole member of Bohemian Investments, LLC, and has voting and dispositive power over the shares held by Bohemian Investments, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
- [F4]The reporting person serves as President of the Managing Member of BOCO Investments, LLC and has voting and dispositive power over the shares held by BOCO Investments, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 of the Exchange Act, or for any other purpose.
- [F5]The reporting person serves as President of Bohemian Asset Management, LLC, which is the agent for PS Family Advisors, LLC, and is authorized to make investment decisions on behalf of the L. Lee Stryker Irrevocable Trust UAD 09-10-1974. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 of the Exchange Act or for any other purpose.
Documents
Issuer
First Western Financial Inc
CIK 0001327607
Entity typeother
Related Parties
1- filerCIK 0001745088
Filing Metadata
- Form type
- 4
- Filed
- Sep 11, 8:00 PM ET
- Accepted
- Sep 12, 8:06 PM ET
- Size
- 14.5 KB