Gart Thomas A 4
4 · First Western Financial Inc · Filed Sep 12, 2018
Insider Transaction Report
Form 4
Gart Thomas A
Director
Transactions
- Exercise/Conversion
Common Stock
2018-09-10+8,772→ 72,909 total(indirect: By Gart Investments) - Exercise/Conversion
Make Whole Right
2018-09-10→ 0 total(indirect: By Gart Investments)Exercise: $0.00→ Common Stock (8,772 underlying)
Holdings
- 15,122
Common Stock
Footnotes (3)
- [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]The reporting person serves as Managing Partner of Gart Investments. 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 securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- [F3]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.