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1)
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NAME OF REPORTING PERSON
First Financial Northwest, Inc. Employee Stock Ownership Plan
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2)
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
a) [ ]
b) [X]
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3)
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SEC USE ONLY
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4)
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CITIZENSHIP OR PLACE OF ORGANIZATION
Not applicable
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
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5)
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SOLE VOTING POWER
987,467
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6)
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SHARED VOTING POWER
475,826
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7)
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SOLE DISPOSITIVE POWER
1,463,293
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8)
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SHARED DISPOSITIVE POWER
-0-
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9)
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,463,293
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10)
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES [ ]
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11)
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.93%
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12)
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TYPE OF REPORTING PERSON
EP
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NAME OF ISSUER:
First Financial Northwest, Inc. (the "Corporation")
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ITEM 1(b)
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ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
201 Wells Avenue South, Renton, Washington 98057
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ITEM 2(a)
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NAME OF PERSON FILING:
First Financial Northwest, Inc. Employee Stock Ownership Plan (the "ESOP")
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ITEM 2(b)
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ADDRESS OF PRINCIPAL BUSINESS OFFICE:
The business address of the ESOP is:
201 Wells Avenue South, Renton, Washington 98057
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ITEM 2(c)
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CITIZENSHIP:
Not Applicable.
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ITEM 2(d)
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TITLE OF CLASS OF SECURITIES
Common stock, par value $.01 per share (the "Common Stock")
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ITEM 2(e)
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CUSIP NUMBER: 320 22K 102
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ITEM 3
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IF THIS STATEMENT IS FILED PURSUANT TO SECTION 240.13d-1(b) OR 240.13d-2(b) or
(c), CHECK WHETHER THE PERSON FILING IS:
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(a)
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[ ]
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
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(b)
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[ ]
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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[ ]
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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[ ]
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
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(e)
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[ ]
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An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);
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(f)
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[X ]
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An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);
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(g)
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[ ]
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A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G);
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(h)
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[ ]
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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[ ]
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); and
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(j)
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[ ]
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Group, in accordance with Section 240.13d-1(b)(1)(ii)(J).
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ITEM 4
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OWNERSHIP:
The ESOP holds an aggregate of 1,463,293 shares of Common Stock (8.93% of the outstanding shares). The ESOP has sole voting power with respect to shares held by it which have not been allocated to participant accounts, shared voting power with respect to shares held by it which have been allocated to participant accounts and sole dispositive power with respect to all shares (allocated and unallocated) held by the ESOP.
The Trustee may be deemed to beneficially own the 1,463,293 shares held by the ESOP. However, the Trustee expressly disclaims beneficial ownership of all of such shares. Other than the shares held by the ESOP, the Trustee does not beneficially own any shares of Common Stock.
Pursuant to the ESOP, participants in the ESOP are entitled to instruct the Trustee as to the voting of the shares allocated to their ESOP accounts. On each issue with respect to which shareholders are entitled to vote, the Trustee is required to vote the shares held by the ESOP which have not been allocated to participant accounts in the manner directed under the ESOP.
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ITEM 5
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OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:
Not applicable.
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ITEM 6.
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OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:
Not Applicable.
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ITEM 7.
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IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY:
Not Applicable.
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ITEM 8.
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IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
Not Applicable.
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ITEM 9.
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NOTICE OF DISSOLUTION OF GROUP:
Not Applicable.
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ITEM 10.
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CERTIFICATION
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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SIGNATURE
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After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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Date: January 14, 2014
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FIRST FINANCIAL NORTHWEST, INC.
EMPLOYEE STOCK OWNERSHIP PLAN
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By:
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/s/ Linda Shultz
First Bankers Trust Services, Inc.,
as Trustee
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Name:
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Linda Shultz
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Title:
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Trust Officer
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Date: January 14, 2014
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FIRST BANKERS TRUST SERVICES, INC.
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By:
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/s/Linda Shultz
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Name:
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Linda Shultz
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Title:
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Trust Officer
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By:
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/s/Linda Shultz
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Name: Linda Shultz
Title: Trust Officer
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By:
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/s/Linda Shultz
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First Bankers Trust Services, Inc.,
as Trustee
Name: Linda Shultz
Title: Trust Officer
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