Annual Statement of Changes in Beneficial Ownership (5)
February 11 2022 - 05:44PM
Edgar (US Regulatory)
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
[ ]
Form 3 Holdings Reported
[ ]
Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden hours per response...
1.0
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
HA DAISY Y | 2. Issuer Name and Ticker or Trading SymbolHOPE BANCORP INC [HOPE] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
3200 WILSHIRE BLVD., SUITE 1400 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2021 |
(Street)
LOS ANGELES, CA 90010
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock | | | | | | | 458567 (1) | D | |
Common Stock | 7/21/2021 | | G | 141427 | A | $0.00 | 141427 (2) | I | By Self as Trustee of Kana Trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Non-qualified Stock Option (right to buy) | $17.18 | | | | | | (3) | 9/1/2026 | Common Stock | 20000 | | 20000 | D | |
Non-qualified Stock Option (right to buy) | $14.65 | | | | | | (4) | 8/25/2025 | Common Stock | 4404 | | 4404 | D | |
Non-qualified Stock Option (right to buy) | $15.23 | | | | | | (5) | 1/2/2024 | Common Stock | 28136 | | 28136 | D | |
Explanation of Responses: |
(1) | Total amount of securities beneficially owned in Column 5 of Table I in this Form 5 includes the reporting owner's unvested Restricted
Stock Units ("RSU") granted on May 20, 2021 pursuant to the HOPE Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP") previously reported in Table II. Outstanding RSU shares will vest according to previously disclosed vesting
schedules. |
(2) | On July 21, 2021, 141,427 Hope shares were transferred as a gift to a trust (Kana Trust) of which the reporting owner is the trustee. |
(3) | These options were granted on September 1, 2016 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan. These options have fully vested as of September 1, 2018. |
(4) | Received in exchange for 6,262 shares of Wilshire Bancorp, Inc. ("Wilshire") common stock in connection with merger of Wilshire Bancorp, Inc. into HOPE Bancorp, Inc. (former BBCN Bancorp, Inc.)(the "Merger"). On the effective date of the Merger, the closing price of Wilshire's common stock was $10.74 per share, and the closing price of HOPE Bancorp, Inc. was $15.37 per share. |
(5) | Received in the Merger in exchange for a stock option to acquire 40,000 shares of Wilshire common stock. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HA DAISY Y 3200 WILSHIRE BLVD. SUITE 1400 LOS ANGELES, CA 90010 | X |
|
|
|
Signatures
|
/s/Claire Hur as AIF for Daisy Ha | | 2/11/2022 |
**Signature of Reporting Person | Date |
Hope Bancorp (NASDAQ:HOPE)
Historical Stock Chart
From Feb 2024 to Mar 2024
Hope Bancorp (NASDAQ:HOPE)
Historical Stock Chart
From Mar 2023 to Mar 2024