Amended Statement of Beneficial Ownership (3/a)
February 18 2020 - 11:38AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kim Anthony I. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/22/2020
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3. Issuer Name and Ticker or Trading Symbol
HANMI FINANCIAL CORP [HAFC]
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(Last)
(First)
(Middle)
3660 WILSHIRE BLVD., PH-A |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Banking Officer / |
(Street)
LOS ANGELES, CA
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 2/3/2020
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 19302 | D | |
Common Stock Grant | 1868 (1) | D | |
Common Stock Grant | 6000 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Options for Common Stock | 4/23/2015 | 4/23/2024 | Common Stock | 15000 (3) | $22.25 | D | |
Explanation of Responses: |
(1) | Common stock grant issued under the 2013 Equity Compensation Plan, vesting over two years from the grant date, May 23, 2019. |
(2) | Common stock grant issued under the 2013 Equity Compensation Plan, vesting over three years from the grant date, June 3, 2019. |
(3) | Options for common stock issued under the 2013 Equity Compensation Plan, vesting over three years from the grant date, April 23, 2014. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kim Anthony I. 3660 WILSHIRE BLVD., PH-A LOS ANGELES, CA |
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| Chief Banking Officer |
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Signatures
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/s/ Anthony Kim | | 2/18/2020 |
**Signature of Reporting Person | Date |
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