Duncan David R

SEC source: 0001628280-26-041214 · wk-form4_1780690567.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,652

F1 · shares: Represents restricted stock units that vest in five substantially equal annual installments beginning on June 3, 2027, subject to the continued service of the reporting person.

SEC source: 0001628280-26-005471 · wk-form4_1770240640.xml · nonDerivative · entry 4

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan Revocable Trust

Disclosed balance after: 0

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001628280-26-005471 · wk-form4_1770240640.xml · nonDerivative · entry 3

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan Revocable Trust

Disclosed balance after: 3,626

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001628280-26-005471 · wk-form4_1770240640.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan Revocable Trust

Disclosed balance after: 6,626

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001628280-26-004132 · wk-form4_1769721113.xml · nonDerivative · entry 3

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan Revocable Trust

Disclosed balance after: 8,626

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001628280-26-004132 · wk-form4_1769721113.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 0

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001628280-26-003851 · wk-form4_1769635601.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 1,674

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001628280-26-003851 · wk-form4_1769635601.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 4,699

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001327607-25-000079 · wk-form4_1749241097.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,678

F1 · shares: Represents restricted stock units that vest in five substantially equal annual installments beginning on June 4, 2026, subject to the continued service of the reporting person.

SEC source: 0001327607-24-000188 · wk-form4_1731446199.xml · nonDerivative · entry 3

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 6,080

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001327607-24-000188 · wk-form4_1731446199.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan Revocable Trust

Disclosed balance after: 10,620

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001327607-24-000180 · wk-form4_1730405762.xml · nonDerivative · entry 5

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 8,760

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001327607-24-000180 · wk-form4_1730405762.xml · nonDerivative · entry 4

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 10,460

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001327607-24-000180 · wk-form4_1730405762.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan Revocable Trust

Disclosed balance after: 12,320

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001327607-24-000180 · wk-form4_1730405762.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan Revocable Trust

Disclosed balance after: 14,920

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001327607-24-000174 · wk-form4_1726693192.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan Revocable Trust

Disclosed balance after: 17,520

F1 · ownership.nature: The reporting person was appointed trustee of the Sara C. Duncan Revocable Trust on June 13, 2023. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001327607-24-000174 · wk-form4_1726693192.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan Revocable Trust

Disclosed balance after: 19,520

F1 · ownership.nature: The reporting person was appointed trustee of the Sara C. Duncan Revocable Trust on June 13, 2023. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001327607-24-000134 · wk-form4_1717791937.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,478

F1 · shares: Represents restricted stock units that vest in five substantially equal annual installments beginning on June 5, 2025, subject to the continued service of the reporting person.

SEC source: 0001327607-23-000125 · wk-form4_1691094335.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,012

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.

SEC source: 0001327607-23-000076 · wf-form4_168444203599546.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,804

SEC source: 0001327607-23-000025 · wf-form4_167951928287536.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 12,160

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001415889-22-012588 · form4-12152022_091226.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 13,915

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001415889-22-012588 · form4-12152022_091226.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 15,126

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001415889-22-005984 · form4-06012022_010637.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 17,162

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001415889-22-006035 · form4a-06022022_020600.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 17,160

F1 · shares: Amendment filed to correct number of shares sold

F2 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001415889-22-005834 · form4-05272022_020515.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 24,256

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001415889-22-005984 · form4-06012022_010637.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 23,698

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001415889-22-005834 · form4-05272022_020515.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 34,256

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001415889-22-005703 · form4-05262022_020556.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 38,430

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001415889-22-005703 · form4-05262022_020556.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 40,380

F1 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001415889-22-004619 · form4-05042022_020558.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,304

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.

SEC source: 0001415889-21-005828 · form4-12102021_011224.xml · derivative · entry 5

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,087 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.

F3 · 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.

SEC source: 0001415889-21-005828 · form4-12102021_011224.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,261

SEC source: 0001415889-21-005828 · form4-12102021_011224.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,829

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.

SEC source: 0001415889-22-003931 · form4-04072022_110408.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,550

F1 · kind: The transaction represents a pro rata distribution of 13,158 shares of Common Stock, for no consideration, by Electra Energy Company to its members on October 5, 2021. The reporting person received 3,289 shares of Common Stock from such distribution.

F2 · balance_after: Reflects number of shares beneficially owned by the reporting person as of the filing date of this report.

SEC source: 0001415889-22-003931 · form4-04072022_110408.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Electra Energy Company

Disclosed balance after: 0

F1 · kind: The transaction represents a pro rata distribution of 13,158 shares of Common Stock, for no consideration, by Electra Energy Company to its members on October 5, 2021. The reporting person received 3,289 shares of Common Stock from such distribution.

SEC source: 0001415889-21-002267 · form4-05042021_040512.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,742

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.

SEC source: 0001415889-21-000146 · form4-01052021_030108.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,977

SEC source: 0001415889-20-002496 · form4-10282020_031058.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 36,522

F1 · kind: Represents distribution of shares from the Raymond T. Duncan Estate Trust to the Sara C. Duncan GST Exempt Marital Trust. The reporting person is the trustee of each of these trusts.

F3 · ownership.nature: The reporting person is the trustee of this trust. 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 (the

SEC source: 0001415889-20-002496 · form4-10282020_031058.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Raymond T. Duncan Estate Trust

Disclosed balance after: 0

F1 · kind: Represents distribution of shares from the Raymond T. Duncan Estate Trust to the Sara C. Duncan GST Exempt Marital Trust. The reporting person is the trustee of each of these trusts.

F2 · balance_after: In prior reports, the reporting person reported beneficial ownership of 42,160 shares held by Raymond T. Duncan Estate Trust, which inadvertently over reported the number of share owned by the Raymond T. Duncan Estate Trust by 5,638 shares.

F3 · ownership.nature: The reporting person is the trustee of this trust. 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 (the

SEC source: 0001415889-21-001974 · form4a-04122021_030438.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Sara C. Duncan GST Exempt Marital Trust

Disclosed balance after: 42,160

F1 · kind: Represents distribution of shares from the Raymond T. Duncan Estate Trust to the Sara C. Duncan GST Exempt Marital Trust. The reporting person is the trustee of each of these trusts.

F2 · shares: On October 28, 2020, the reporting person inadvertently reported that 36,522 shares were distributed from the Raymond T. Duncan Estate Trust to the Sara C. Duncan GST Exempt Marital Trust; however, 42,160 shares were actually distributed as reported in this amendment.

F3 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001415889-21-001974 · form4a-04122021_030438.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Raymond T. Duncan Estate Trust

Disclosed balance after: 0

F1 · kind: Represents distribution of shares from the Raymond T. Duncan Estate Trust to the Sara C. Duncan GST Exempt Marital Trust. The reporting person is the trustee of each of these trusts.

F2 · shares: On October 28, 2020, the reporting person inadvertently reported that 36,522 shares were distributed from the Raymond T. Duncan Estate Trust to the Sara C. Duncan GST Exempt Marital Trust; however, 42,160 shares were actually distributed as reported in this amendment.

F3 · ownership.nature: The reporting person is the trustee of this trust. 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 (the "Exchange Act"), or for any other purpose.

SEC source: 0001104659-20-056886 · a4.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,117

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.

SEC source: 0001415889-21-001972 · form4a-04122021_030449.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,909

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.

F2 · balance_after: Includes shares 26,792 shares received in a pro rata distribution from Rawah Partners, LLC, of which the reporting person serves as the Manager. On May 5, 2020, the reporting person filed a Form 4 reporting that such shares were indirectly owned by DKD, LLC, a limited liability company of which the reporting person is the sole member; however, such shares should have been reporting as directly owned by the reporting person.

SEC source: 0001104659-18-066105 · a4.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,116

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.

SEC source: 0001104659-18-056493 · a4.xml · derivative · entry 5

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Electra Energy Company

Disclosed balance after: 0

Underlying: Common Stock · 4,386 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.

F3 · ownership.nature: The reporting person has shared voting and investment control over the securities held by Electra Energy Company by through DKD, LLC, a limited liability company of which the reporting person is the sole member. 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 Exchange Act or for any other purpose.

SEC source: 0001104659-18-056493 · a4.xml · derivative · entry 4

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rawah Partners, LLC

Disclosed balance after: 0

Underlying: Common Stock · 8,750 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.

F2 · ownership.nature: The reporting person serves as Manager of Rawah Partners, 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.

SEC source: 0001104659-18-056493 · a4.xml · nonDerivative · entry 2

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Electra Energy Company

Disclosed balance after: 13,158

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.

F3 · ownership.nature: The reporting person has shared voting and investment control over the securities held by Electra Energy Company by through DKD, LLC, a limited liability company of which the reporting person is the sole member. 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 Exchange Act or for any other purpose.

SEC source: 0001104659-18-056493 · a4.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rawah Partners, LLC

Disclosed balance after: 186,927

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 · ownership.nature: The reporting person serves as Manager of Rawah Partners, 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.

SEC source: 0001104659-18-046335 · a4.xml · nonDerivative · entry 1

Duncan David R · CIK 0001744991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rawah Partners , LLC

Disclosed balance after: 178,177

F1 · shares: Represents shares of common stock, no par value ("Common Stock") of the issuer purchased through a directed share program in connection with the initial public offering of the Common Stock.

F2 · ownership.nature: The reporting person serves as Manager of Rawah Partners, 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.