- Current report filing (8-K)
October 18 2012 - 8:31AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date
of Report (Date of Earliest Event Reported)
:
October
18, 2012
HANMI FINANCIAL CORPORATION
|
(Exact Name of Registrant as Specified in its Charter)
|
Delaware
|
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000-30421
|
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95-4788120
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
|
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(IRS Employer
Identification No.)
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3660 Wilshire Boulevard, Penthouse Suite A
Los Angeles, California
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90010
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(Address
of Principal Executive Offices)
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(Zip
Code)
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Registrant’s
Telephone Number, Including Area Code:
(213)
382-2200
Not Applicable
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(Former Name or Former Address, if Changed Since Last Report)
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Check the
appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the Registrant under any
of the following provisions
(see General Instruction A.2. below)
:
⃞
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
⃞
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
⃞
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
⃞
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
Item 2.02
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Results of Operations and Financial Condition.
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This information set forth under “Item 2.02. Results of Operations and
Financial Condition,” including Exhibit 99.1 attached hereto, shall not
be deemed “filed” for purposes of Section 18 of the Securities and
Exchange Act of 1934, as amended (the “Exchange Act”) or otherwise
subject to the liabilities of that section, nor shall it be deemed
incorporated by reference in any filing under the Securities Act of
1933, as amended, or the Exchange Act, regardless of any general
incorporation language in such filing.
On October 18, 2012, Hanmi Financial Corporation (“Hanmi Financial”)
issued a press release announcing its financial results for the nine
months ended September 30, 2012. A copy of the press release is
attached as Exhibit 99.1 to this Form 8-K.
Item 9.01
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Financial Statements and Exhibits.
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(d) Exhibits
99.1 Press release issued by Hanmi Financial dated October 18, 2012.
Forward-Looking Statements
This form contains forward-looking statements, which are included in
accordance with the “safe harbor” provisions of the Private Securities
Litigation Reform Act of 1995. In some cases, you can identify
forward-looking statements by terminology such as “may,” “will,”
“should,” “could,” “expects,” “plans,” “intends,” “anticipates,”
“believes,” “estimates,” “predicts,” “potential,” or “continue,” or the
negative of such terms and other comparable terminology. Although Hanmi
believes that the expectations reflected in the forward-looking
statements are reasonable, it cannot guarantee future results, levels of
activity, performance or achievements. All statements other than
statements of historical fact are “forward –looking statements” for
purposes of federal and state securities laws, including, but not
limited to, statements about anticipated future operating and financial
performance, financial position and liquidity, business strategies,
regulatory and competitive outlook, investment and expenditure plans,
capital and financing needs and availability, plans and objectives of
management for future operations, developments regarding its capital
plans and other similar forecasts and statements of expectation and
statements of assumption underlying any of the foregoing. These
statements involve known and unknown risks, uncertainties and other
factors that may cause its actual results, levels of activity,
performance or achievements to differ from those expressed or implied by
the forward-looking statement. These factors include the following:
failure to maintain adequate levels of capital and liquidity to support
Hanmi’s operations; the effect of regulatory orders Hanmi or the Bank
has entered into and potential future supervisory action against Hanmi
or the Bank; general economic and business conditions internationally,
nationally and in those areas in which the Bank operates; volatility and
deterioration in the credit and equity markets; changes in consumer
spending, borrowing and savings habits; availability of capital from
private and government sources; demographic changes; competition for
loans and deposits and failure to attract or retain loans and deposits;
fluctuations in interest rates and a decline in the level of the Bank’s
interest rate spread; risks of natural disasters related to Bank’s real
estate portfolio; risks associated with Small Business Administration
loans; failure to attract or retain key employees; changes in
governmental regulation, including, but not limited to, any increase in
FDIC insurance premiums; ability to receive regulatory approval for
Hanmi Bank to declare dividends to Hanmi Financial; ability to recapture
deferred tax assets; adequacy of the Bank’s allowance for loan losses,
credit quality and the effect of credit quality on the Bank’s provision
for credit losses and allowance for loan losses; changes in the
financial performance and/or condition of the Bank’s borrowers and the
ability of the Bank’s borrowers to perform under the terms of their
loans and other terms of credit agreements; Hanmi’s ability to control
expenses; and changes in securities markets. In addition, Hanmi sets
forth certain risks in its reports filed with the U.S. Securities and
Exchange Commission (“SEC”), including, in Item 1A of its Form 10K for
the year ended December 31, 2011, our quarterly reports on Form 10Q, and
in current and periodic reports that Hanmi will file with the SEC
hereafter, which could cause actual results to differ from those
projected. Hanmi undertakes no obligation to update such forward-looking
statements except as required by law.
SIGNATURES
Pursuant to
the requirements of the Securities Exchange Act of 1934, the Registrant
has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
Date:
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October 18, 2012
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HANMI FINANCIAL CORPORATION
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By:
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/s/ Jay S. Yoo
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Jay S. Yoo
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President and Chief Executive Officer
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EXHIBIT INDEX
Exhibit
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No.
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Description
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99.1
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Press Release, dated October 18, 2012.*
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*
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Deemed “furnished” and not “filed” for purposes of Section 18 of the
Exchange Act or otherwise subject to the liabilities of that
section, nor shall it be deemed incorporated by reference in any
filing under the Securities Act of 1933, as amended, or the Exchange
Act, regardless of any general incorporation language in such filing.
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