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HANMI FINANCIAL CORP — Director's Dealing 2016
Nov 22, 2016
32463_dirs_2016-11-22_80b16beb-06c4-4252-8bcf-3b2dd74b51d3.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HANMI FINANCIAL CORP (HAFC)
CIK: 0001109242
Period of Report: 2016-11-18
Reporting Person: Kim Greg D (Chief Administrative Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-11-18 | Common Stock | M | 1000 | $10.80 | Acquired | 14969 | Direct |
| 2016-11-18 | Common Stock | M | 5500 | $12.54 | Acquired | 20469 | Direct |
| 2016-11-18 | Common Stock | M | 25000 | $16.43 | Acquired | 45469 | Direct |
| 2016-11-18 | Common Stock | F | 16000 | $30.81 | Disposed | 29469 | Direct |
| 2016-11-22 | Common Stock | S | 3000 | $31.40 | Disposed | 26469 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-11-18 | Stock Options | $10.80 | M | 1000 | Disposed | 2019-04-08 | Common Stock (1000) | Direct |
| 2016-11-18 | Stock Options | $12.54 | M | 5500 | Disposed | 2022-12-12 | Common Stock (5500) | Direct |
| 2016-11-18 | Stock Options | $16.43 | M | 25000 | Disposed | 2023-08-28 | Common Stock (25000) | Direct |
Footnotes
F1: 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.
F2: 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.
F3: 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.
F4: 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.
F5: The option vested one-third each year on the anniversary of the grant date with full vesting occurring on 8/28/2016.