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HOPE BANCORP INC — Director's Dealing 2017
Dec 2, 2017
31990_dirs_2017-12-01_4691d131-d52b-40a5-a656-ade3453fd747.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HOPE BANCORP INC (HOPE)
CIK: 0001128361
Period of Report: 2017-11-30
Reporting Person: Koh Steven (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-30 | Common Stock | S | 41423 | $19.0042 | Disposed | 54014 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3226092 | Indirect |
| Common Stock | 608261 | Indirect |
| Common Stock | 805 | Indirect |
| Common Stock | 805 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Common Stock (6667) | 6667 | Direct | |
| Non-qualified stock option (right to buy) | $17.18 | 2026-09-01 | Common Stock (30000) | 30000 | Direct |
| Stock Option (right to buy) | $5.02 | 2022-01-28 | Common Stock (105510) | 105510 | Direct |
| Stock Option (right to buy) | $14.65 | 2025-08-25 | Common Stock (6167) | 6167 | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.00 to $19.10, inclusive. The reporting person undertakes to provide to HOPE Bancorp, Inc., any security holder of HOPE Bancorp, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
F2: Total 20,000 restricted stock units were granted on September 1, 2016 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan. Each restricted stock unit represents a contingent right to receive one share of HOPE Bancorp, Inc. common stock. 1/3 of the award vested immediately on the grant date, 1/3 vested on September 1, 2017, and remaining 1/3 will vest on September 1, 2018.
F3: These options were granted on September 1, 2016 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan. 1/3 of the options vested immediately on the grant date, with the remaining 2/3 vesting in two equal annual installments thereafter.