Filing Details
- Accession Number:
- 0001209191-16-151756
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-22 17:18:16
- Reporting Period:
- 2016-11-18
- Filing Date:
- 2016-11-22
- Accepted Time:
- 2016-11-22 17:18:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1109242 | Hanmi Financial Corp | HAFC | National Commercial Banks (6021) | 954788120 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1653931 | D Greg Kim | 3660 Wilshire Blvd., Ph-A Los Angeles CA 90010 | Chief Administrative Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-11-18 | 1,000 | $10.80 | 14,969 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-18 | 5,500 | $12.54 | 20,469 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-18 | 25,000 | $16.43 | 45,469 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-18 | 16,000 | $30.81 | 29,469 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2016-11-22 | 3,000 | $31.40 | 26,469 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Disposition | 2016-11-18 | 1,000 | $10.80 | 1,000 | $10.80 |
| Common Stock | Stock Options | Disposition | 2016-11-18 | 5,500 | $12.54 | 5,500 | $12.54 |
| Common Stock | Stock Options | Disposition | 2016-11-18 | 25,000 | $16.43 | 25,000 | $16.43 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 30,500 | 2010-04-08 | 2019-04-08 | No | 4 | M | Direct |
| 25,000 | 2013-12-12 | 2022-12-12 | No | 4 | M | Direct |
| 0 | 2014-08-28 | 2023-08-28 | No | 4 | M | Direct |
Footnotes
- There was an inadvertent error on reporting person's Form 3 which resulted in an incorrect number of total shares reported. This filing updates and corrects that figure.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.75 to $30.90. The reporting person undertakes to provide to Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
- The option vested 20% one year from the grant date of 4/8/2009, and the remaining fully vested at the end of each four-year period through 4/8/2014.
- The option vested 25% immediately on the grant date of 12/12/2012, and additional 25% vested on each the anniversary date, with full vesting occurring on 12/12/2015.
- The option vested one-third each year on the anniversary of the grant date with full vesting occurring on 8/28/2016.
Billionaire Hedge Funds
