Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| First Western Financial IncMYFW · Entity 460 | Director | August 01, 2023 | August 03, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
First Western Financial Inc
Report date August 01, 2023 · Filed August 03, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 184,316 |
Reported balance
After 2023-08-01 transaction · row 1
1 source rowRow 1 · 2023-08-01 · Grant · Acquired 1,208 · Balance 184,316 F1: Represents restricted stock units that vest in five substantially equal annual installments beginning on August 1, 2024, subject to the continued service of the reporting person. |
| Common StockSEC Table I · non-derivative | IndirectBy Eric & Susan Sipf Family Foundation | 7,086 |
Reported balance
Holding disclosure · report date 2023-08-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 7,086 F2: The reporting person serves as Chairman of the Eric & Susan Sipf Family Foundation. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units that vest in five substantially equal annual installments beginning on August 1, 2024, subject to the continued service of the reporting person.
F2: The reporting person serves as Chairman of the Eric & Susan Sipf Family Foundation. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 01, 2023 Filed Aug 3, 2023 16:18 UTC | First Western Financial Inc MYFW · Entity 460 | GrantCommon Stock | 1,208 | $0.00 | $0.00 |
DisclosureSEC source: 0001327607-23-000119 · wk-form4_1691093905.xml · nonDerivative · entry 1 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 184,316 F1 · shares: Represents restricted stock units that vest in five substantially equal annual installments beginning on August 1, 2024, subject to the continued service of the reporting person. Read SEC document |
| May 02, 2022 Filed May 4, 2022 17:36 UTC | First Western Financial Inc MYFW · Entity 460 | GrantCommon Stock | 754 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-004620 · form4-05042022_020501.xml · nonDerivative · entry 1 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,108 F1 · shares: Represents restricted stock units that vest in five substantially equal annual installments beginning on May 2, 2023, subject to the continued service of the reporting person. Read SEC document |
| November 10, 2021 Filed Nov 10, 2021 17:23 UTC | First Western Financial Inc MYFW · Entity 460 | Exercise / conversionStock Option Right to Buy · Derivative | 1,624 | $0.00 Strike: $25.00 | $0.00 |
DisclosureSEC source: 0001415889-21-005129 · form4-11102021_021147.xml · derivative · entry 7 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,624 shares Expires 2022-01-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted on January 17, 2012. 20% of the options vested immediately and the remainder vested 20% annually for four years. Read SEC document |
| November 10, 2021 Filed Nov 10, 2021 17:23 UTC | First Western Financial Inc MYFW · Entity 460 | SaleCommon Stock | 1,624 | $30.90 | $50,181.60 |
DisclosureSEC source: 0001415889-21-005129 · form4-11102021_021147.xml · nonDerivative · entry 4 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,354 Read SEC document |
| November 10, 2021 Filed Nov 10, 2021 17:23 UTC | First Western Financial Inc MYFW · Entity 460 | Exercise / conversionCommon Stock | 1,624 | $25.00 | $40,600.00 |
DisclosureSEC source: 0001415889-21-005129 · form4-11102021_021147.xml · nonDerivative · entry 3 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,978 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2021 Filed Nov 10, 2021 17:23 UTC | First Western Financial Inc MYFW · Entity 460 | Exercise / conversionStock Option Right to Buy · Derivative | 1,101 | $0.00 Strike: $25.00 | $0.00 |
DisclosureSEC source: 0001415889-21-005129 · form4-11102021_021147.xml · derivative · entry 6 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,624 Underlying: Comon Stock · 1,101 shares Expires 2022-01-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted on January 17, 2012. 20% of the options vested immediately and the remainder vested 20% annually for four years. Read SEC document |
| November 09, 2021 Filed Nov 10, 2021 17:23 UTC | First Western Financial Inc MYFW · Entity 460 | SaleCommon Stock | 1,101 | $30.90 | $34,020.90 |
DisclosureSEC source: 0001415889-21-005129 · form4-11102021_021147.xml · nonDerivative · entry 2 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,354 Read SEC document |
| November 09, 2021 Filed Nov 10, 2021 17:23 UTC | First Western Financial Inc MYFW · Entity 460 | Exercise / conversionCommon Stock | 1,101 | $25.00 | $27,525.00 |
DisclosureSEC source: 0001415889-21-005129 · form4-11102021_021147.xml · nonDerivative · entry 1 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,455 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 03, 2021 Filed May 4, 2021 19:04 UTC | First Western Financial Inc MYFW · Entity 460 | GrantCommon Stock | 973 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-002263 · form4-05042021_040509.xml · nonDerivative · entry 1 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,354 F1 · shares: Represents restricted stock units that vest in five substantially equal annual installments beginning on May 3, 2022, subject to the continued service of the reporting person. Read SEC document |
| January 01, 2021 Filed Jan 5, 2021 18:05 UTC | First Western Financial Inc MYFW · Entity 460 | Tax withholdingCommon Stock | 120 | $19.57 | $2,348.40 |
DisclosureSEC source: 0001415889-21-000144 · form4-01052021_030102.xml · nonDerivative · entry 1 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,381 Read SEC document |
| May 27, 2020 Filed Jul 30, 2020 19:46 UTC | First Western Financial Inc MYFW · Entity 460 | GrantCommon Stock | 2,000 | $13.30 | $26,600.00 |
DisclosureSEC source: 0001104659-20-088481 · a4.xml · nonDerivative · entry 1 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,501 Read SEC document |
| May 01, 2020 Filed May 5, 2020 16:15 UTC | First Western Financial Inc MYFW · Entity 460 | GrantCommon Stock | 2,001 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-056876 · a4.xml · nonDerivative · entry 1 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,501 F1 · shares: Represents restricted stock units that vest in five substantially equal annual installments beginning on May 1, 2021, subject to the continued service of the reporting person. Read SEC document |
| November 01, 2018 Filed Nov 5, 2018 21:03 UTC | First Western Financial Inc MYFW · Entity 460 | GrantCommon Stock | 1,915 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-066099 · a4.xml · nonDerivative · entry 1 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,500 F1 · shares: Represents 1,915 restricted stock units awarded pursuant to the First Western Financial, Inc. 2016 Omnibus Incentive Plan, as amended and restated, that vest in two substantially equal installments on November 1, 2021, and November 1, 2023, subject to the continued service of the reporting person. Read SEC document |
| September 10, 2018 Filed Sep 12, 2018 20:03 UTC | First Western Financial Inc MYFW · Entity 460 | Exercise / conversionMake Whole Right · Derivative | Not disclosed | Not disclosed Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-056487 · a4.xml · derivative · entry 3 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. F1 · reported_value: 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. F1 · price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F1 · derivative.underlying_shares: 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. Read SEC document |
| September 10, 2018 Filed Sep 12, 2018 20:03 UTC | First Western Financial Inc MYFW · Entity 460 | Exercise / conversionCommon Stock | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-056487 · a4.xml · nonDerivative · entry 1 SIPF ERIC D · CIK 0001219797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,585 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. F1 · price: 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 · balance_after: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.