Statement of Changes in Beneficial Ownership (4)
March 10 2020 - 5:19PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Fuhr Matthew |
2. Issuer Name and Ticker or Trading Symbol
HANMI FINANCIAL CORP
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HAFC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Credit Administration |
(Last)
(First)
(Middle)
3660 WILSHIRE BLVD., PH-A |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/22/2017 |
(Street)
LOS ANGELES, CA 90010
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 6/22/2017 | | F | | 566 | D | $27.65 | 21366 (1)(2)(3) | D | |
Common Stock | 3/16/2018 | | F | | 508 | D | $32.00 | 20828 (1)(2)(3) | D | |
Common Stock | 3/27/2018 | | F | | 1029 | D | $30.20 | 19799 (1)(2)(3) | D | |
Common Stock | 6/22/2018 | | F | | 516 | D | $29.80 | 19283 (1)(2)(3)(4) | D | |
Common Stock | 3/18/2019 | | F | | 621 | D | $22.06 | 18662 (2)(3)(4) | D | |
Common Stock | 3/23/2019 | | A | | 3035 (5) | A | $0.00 | 21697 (3)(4) | D | |
Common Stock | 3/27/2019 | | F | | 1073 | D | $21.01 | 20624 (3)(4)(5) | D | |
Common Stock | 3/29/2019 | | F | | 302 | D | $21.27 | 20322 (3)(4)(5) | 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. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Includes shares of common stock issued under the 2013 Equity Compensation Plan, which vest over three years from the date of grant, June 22, 2015. |
(2) | Includes shares of common stock issued under the 2013 Equity Compensation Plan, which vest over three years from the date of grant, March 16, 2016. |
(3) | Includes shares of common stock issued under the 2013 Equity Compensation Plan, which vest over three years from the date of grant, March 27, 2017. |
(4) | Includes shares of common stock issued under the 2013 Equity Compensation Plan, which vest over three years from the date of grant, March 29, 2018. |
(5) | Common stock grant issued under the 2013 Equity Compensation Plan, vesting over two years from the date of grant, March 23, 2019. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Fuhr Matthew 3660 WILSHIRE BLVD., PH-A LOS ANGELES, CA 90010 |
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| Chief Credit Administration |
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Signatures
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/s/ Matthew Fuhr | | 3/10/2020 |
**Signature of Reporting Person | Date |
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