Thomas C. Shafer - 01 Apr 2026 Form 4 Insider Report for First Foundation Inc. (FFWM)

Reporting relationship: Chief Executive Officer, Director
Issuer ticker: FFWM
Reported as of: 01 Apr 2026
Net transaction value: $0
SEC form: 4
Accepted by SEC: 01 Apr 2026, 19:18:30 UTC
Prior SEC filing: 22 Nov 2024
Source filing: View source filing
Reporting owner signature: /s/ Bruno Carrijo, attorney in fact for Thomas C. Shafer

Key filing fact

Thomas C. Shafer filed Form 4 for First Foundation Inc. (FFWM) on 01 Apr 2026.

Key facts

This page summarizes Thomas C. Shafer's Form 4 filing for First Foundation Inc. (FFWM).
1 reported transaction and 0 derivative rows are listed below.
Accepted by SEC: 01 Apr 2026, 19:18.

Change

Previous filing in this sequence was filed on 22 Nov 2024.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001454988 Primary reporting owner

SHAFER THOMAS C

Relationship: Chief Executive Officer, Director
Address: 5221 NORTH O'CONNOR BOULEVARD, STE 1375, IRVING
Signature: /s/ Bruno Carrijo, attorney in fact for Thomas C. Shafer
Signature date: 01 Apr 2026

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

FFWM transaction

Common Stock

Disposed to Issuer

Transaction value
Shares: -500,000
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 01 Apr 2026
Ownership: Direct
Footnotes: F1, F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

Thomas C. Shafer is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 2 footnotes

Footnote F1

Disposed of pursuant to the Agreement and Plan of Merger, dated October 27, 2025 (the "Merger Agreement"), by and between the Issuer and FirstSun Capital Bancorp ("FirstSun"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 0.16083 shares of FirstSun common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock.

Footnote F2

Includes restricted stock units with respect to 500,000 shares of the Issuer's common stock. Pursuant to the Merger Agreement, at the effective time of the merger, the restricted stock units were assumed by FirstSun and converted into restricted stock units with respect to a number of shares of FirstSun common stock equal to the number of issuer shares underlying the restricted stock unit multiplied by the Exchange Ratio.