HANMI FINANCIAL CORP 4

4 · HANMI FINANCIAL CORP · Filed Nov 22, 2016

Form 4

Period: 2016-11-18

Chief Administrative Officer

Transactions

Exercise/Conversion
Common Stock
2016-11-18$16.43/sh+25,000$410,750→ 45,469 total
Sale
Common Stock
2016-11-22$31.40/sh−3,000$94,200→ 26,469 total
Exercise/Conversion
Stock Options
2016-11-18$10.80/sh−1,000$10,800→ 30,500 total
Exercise: $10.80From: 2010-04-08Exp: 2019-04-08→ Common Stock (1,000 underlying)
Exercise/Conversion
Stock Options
2016-11-18$12.54/sh−5,500$68,970→ 25,000 total
Exercise: $12.54From: 2013-12-12Exp: 2022-12-12→ Common Stock (5,500 underlying)
Exercise/Conversion
Stock Options
2016-11-18$16.43/sh−25,000$410,750→ 0 total
Exercise: $16.43From: 2014-08-28Exp: 2023-08-28→ Common Stock (25,000 underlying)
Exercise/Conversion
Common Stock
2016-11-18$12.54/sh+5,500$68,970→ 20,469 total
Tax Payment
Common Stock
2016-11-18$30.81/sh−16,000$492,960→ 29,469 total
Exercise/Conversion
Common Stock
2016-11-18$10.80/sh+1,000$10,800→ 14,969 total

Footnotes (5)

[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.

Documents

1 file