HOPE

SEC source: 0001209191-20-019708 · doc4.xml · derivative · entry 11

Kim Kevin Sung · CIK 0001445181 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,328 shares

Expires not disclosed

F10 · derivative.exercise_price: 14,328 PRSU were granted on June 26, 2017 pursuant to the 2017 LTIP and the 2016 ICP. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 11-quarter period from April 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F10 · derivative.exercise_date: 14,328 PRSU were granted on June 26, 2017 pursuant to the 2017 LTIP and the 2016 ICP. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 11-quarter period from April 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F10 · derivative.expiration_date: 14,328 PRSU were granted on June 26, 2017 pursuant to the 2017 LTIP and the 2016 ICP. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 11-quarter period from April 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F10 · derivative.underlying_shares: 14,328 PRSU were granted on June 26, 2017 pursuant to the 2017 LTIP and the 2016 ICP. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 11-quarter period from April 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F10 · balance_after: 14,328 PRSU were granted on June 26, 2017 pursuant to the 2017 LTIP and the 2016 ICP. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 11-quarter period from April 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

SEC source: 0001209191-20-019708 · doc4.xml · derivative · entry 10

Kim Kevin Sung · CIK 0001445181 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,328 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_price: 14,328 PRSU were granted on June 26, 2017 pursuant to the 2017 LTIP and the 2016 ICP. Vesting of these PRSU shares depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 11-quarter period from April 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F9 · derivative.exercise_date: 14,328 PRSU were granted on June 26, 2017 pursuant to the 2017 LTIP and the 2016 ICP. Vesting of these PRSU shares depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 11-quarter period from April 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F9 · derivative.expiration_date: 14,328 PRSU were granted on June 26, 2017 pursuant to the 2017 LTIP and the 2016 ICP. Vesting of these PRSU shares depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 11-quarter period from April 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F9 · derivative.underlying_shares: 14,328 PRSU were granted on June 26, 2017 pursuant to the 2017 LTIP and the 2016 ICP. Vesting of these PRSU shares depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 11-quarter period from April 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F9 · balance_after: 14,328 PRSU were granted on June 26, 2017 pursuant to the 2017 LTIP and the 2016 ICP. Vesting of these PRSU shares depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 11-quarter period from April 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

SEC source: 0001209191-20-019708 · doc4.xml · nonDerivative · entry 2

Kim Kevin Sung · CIK 0001445181 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 584,803

F1 · balance_after: The amount also includes 463 shares acquired in August 2019 and 1,226 shares acquired in February 2020 under the Bank of Hope Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(c), as well as Rule 16a-3(f)(1)(i)(B)

SEC source: 0001209191-20-019708 · doc4.xml · nonDerivative · entry 1

Kim Kevin Sung · CIK 0001445181 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 589,168

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-019710 · doc4.xml · derivative · entry 13

KIM KYU S. · CIK 0001402559 · SEVP, Eastern Region President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,250 shares

Expires not disclosed

F11 · derivative.exercise_price: 1,250 PRSU were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F11 · derivative.exercise_date: 1,250 PRSU were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F11 · derivative.expiration_date: 1,250 PRSU were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F11 · derivative.underlying_shares: 1,250 PRSU were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F11 · balance_after: 1,250 PRSU were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

SEC source: 0001209191-20-019710 · doc4.xml · derivative · entry 12

KIM KYU S. · CIK 0001402559 · SEVP, Eastern Region President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_price: 1,250 PRSU were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F10 · derivative.exercise_date: 1,250 PRSU were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F10 · derivative.expiration_date: 1,250 PRSU were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F10 · derivative.underlying_shares: 1,250 PRSU were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F10 · balance_after: 1,250 PRSU were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

SEC source: 0001209191-20-019710 · doc4.xml · nonDerivative · entry 2

KIM KYU S. · CIK 0001402559 · SEVP, Eastern Region President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,303

SEC source: 0001209191-20-019710 · doc4.xml · nonDerivative · entry 1

KIM KYU S. · CIK 0001402559 · SEVP, Eastern Region President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,820

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-019707 · doc4.xml · derivative · entry 15

KIM JASON K · CIK 0001452653 · EVP & Chief Comm Banking Ofc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F12 · derivative.exercise_price: 1,000 performance-based restricted stock units ("PRSU") were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F12 · derivative.exercise_date: 1,000 performance-based restricted stock units ("PRSU") were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F12 · derivative.expiration_date: 1,000 performance-based restricted stock units ("PRSU") were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F12 · derivative.underlying_shares: 1,000 performance-based restricted stock units ("PRSU") were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F12 · balance_after: 1,000 performance-based restricted stock units ("PRSU") were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU depends upon Hope's achievement of a specified increase in the cumulative quarterly earnings per share during the 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

SEC source: 0001209191-20-019707 · doc4.xml · derivative · entry 14

KIM JASON K · CIK 0001452653 · EVP & Chief Comm Banking Ofc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000 shares

Expires not disclosed

F11 · derivative.exercise_price: 1,000 performance-based restricted stock units ("PRSU") were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F11 · derivative.exercise_date: 1,000 performance-based restricted stock units ("PRSU") were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F11 · derivative.expiration_date: 1,000 performance-based restricted stock units ("PRSU") were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F11 · derivative.underlying_shares: 1,000 performance-based restricted stock units ("PRSU") were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

F11 · balance_after: 1,000 performance-based restricted stock units ("PRSU") were granted on July 27, 2017 pursuant to the 2017 LTIP and the 2016 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index over a 10-quarter period from July 1, 2017 through December 31, 2019. Each PRSU represents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

SEC source: 0001209191-20-019707 · doc4.xml · nonDerivative · entry 2

KIM JASON K · CIK 0001452653 · EVP & Chief Comm Banking Ofc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,700

SEC source: 0001209191-20-019707 · doc4.xml · nonDerivative · entry 1

KIM JASON K · CIK 0001452653 · EVP & Chief Comm Banking Ofc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,112

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-017856 · doc4.xml · derivative · entry 7

KIM KYU S. · CIK 0001402559 · SEVP, Eastern Region President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,317

Underlying: Common Stock · 2,317 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Total 4,634 Restricted Stock Units (RSU) were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,317 shares each will vest annually on March 8, 2020 and 2021.

F5 · derivative.exercise_date: Total 4,634 Restricted Stock Units (RSU) were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,317 shares each will vest annually on March 8, 2020 and 2021.

F5 · derivative.expiration_date: Total 4,634 Restricted Stock Units (RSU) were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,317 shares each will vest annually on March 8, 2020 and 2021.

SEC source: 0001209191-20-017856 · doc4.xml · nonDerivative · entry 2

KIM KYU S. · CIK 0001402559 · SEVP, Eastern Region President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,282

SEC source: 0001209191-20-017856 · doc4.xml · nonDerivative · entry 1

KIM KYU S. · CIK 0001402559 · SEVP, Eastern Region President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,060

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-017923 · doc4.xml · derivative · entry 8

KIM JASON K · CIK 0001452653 · EVP & Chief Comm Banking Ofc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,116

Underlying: Common Stock · 2,116 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: Total 4,231 Restricted Stock Units (RSU) were granted on March 8, 2019 pursuant to the Hope Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,115 and 2,116 shares will vest annually on March 8, 2020 and 2021 respectively.

F6 · derivative.exercise_date: Total 4,231 Restricted Stock Units (RSU) were granted on March 8, 2019 pursuant to the Hope Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,115 and 2,116 shares will vest annually on March 8, 2020 and 2021 respectively.

F6 · derivative.expiration_date: Total 4,231 Restricted Stock Units (RSU) were granted on March 8, 2019 pursuant to the Hope Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,115 and 2,116 shares will vest annually on March 8, 2020 and 2021 respectively.

SEC source: 0001209191-20-017923 · doc4.xml · nonDerivative · entry 2

KIM JASON K · CIK 0001452653 · EVP & Chief Comm Banking Ofc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,882

F1 · balance_after: The amount also includes 194 shares acquired in August 2019 and 142 shares acquired in February 2020 under the Bank of Hope Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c), as well as Rule 16a-3(f)(1)(i)(B)

SEC source: 0001209191-20-017923 · doc4.xml · nonDerivative · entry 1

KIM JASON K · CIK 0001452653 · EVP & Chief Comm Banking Ofc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,254

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-017917 · doc4.xml · derivative · entry 7

Koh Peter · CIK 0001521137 · EVP, Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,015

Underlying: Common Stock · 2,015 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Total 4,029 RSU were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,014 and 2,015 shares will vest annually on March 8, 2020 and 2021 respectively.

F5 · derivative.exercise_date: Total 4,029 RSU were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,014 and 2,015 shares will vest annually on March 8, 2020 and 2021 respectively.

F5 · derivative.expiration_date: Total 4,029 RSU were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,014 and 2,015 shares will vest annually on March 8, 2020 and 2021 respectively.

SEC source: 0001209191-20-017917 · doc4.xml · nonDerivative · entry 2

Koh Peter · CIK 0001521137 · EVP, Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,238

SEC source: 0001209191-20-017917 · doc4.xml · nonDerivative · entry 1

Koh Peter · CIK 0001521137 · EVP, Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,912

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-017913 · doc4.xml · derivative · entry 7

Ko Alex · CIK 0001442518 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,116

Underlying: Common Stock · 2,116 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Total 4,231 RSU were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,115 and 2,116 shares will vest annually on March 8, 2020 and 2021 respectively.

F5 · derivative.exercise_date: Total 4,231 RSU were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,115 and 2,116 shares will vest annually on March 8, 2020 and 2021 respectively.

F5 · derivative.expiration_date: Total 4,231 RSU were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,115 and 2,116 shares will vest annually on March 8, 2020 and 2021 respectively.

SEC source: 0001209191-20-017913 · doc4.xml · nonDerivative · entry 2

Ko Alex · CIK 0001442518 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,712

SEC source: 0001209191-20-017913 · doc4.xml · nonDerivative · entry 1

Ko Alex · CIK 0001442518 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,420

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-017880 · doc4.xml · derivative · entry 7

Malone David P · CIK 0001680721 · Director · SEVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,727

Underlying: Common Stock · 3,727 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Total 7,454 RSU were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 3,727 shares each will vest annually on March 8, 2020 and 2021.

F5 · derivative.exercise_date: Total 7,454 RSU were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 3,727 shares each will vest annually on March 8, 2020 and 2021.

F5 · derivative.expiration_date: Total 7,454 RSU were granted on March 8, 2019 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan ("2016 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 3,727 shares each will vest annually on March 8, 2020 and 2021.

SEC source: 0001209191-20-017880 · doc4.xml · nonDerivative · entry 2

Malone David P · CIK 0001680721 · Director · SEVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,116

SEC source: 0001209191-20-017880 · doc4.xml · nonDerivative · entry 1

Malone David P · CIK 0001680721 · Director · SEVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,397

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-017856 · doc4.xml · derivative · entry 3

KIM KYU S. · CIK 0001402559 · SEVP, Eastern Region President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,453

Underlying: Common Stock · 5,453 shares

Expires not disclosed

F1 · derivative.exercise_price: Total 5,453 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,726 and 2,727 shares each will vest annually on March 6, 2021 and 2022 respectively.

F1 · derivative.exercise_date: Total 5,453 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,726 and 2,727 shares each will vest annually on March 6, 2021 and 2022 respectively.

F1 · derivative.expiration_date: Total 5,453 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,726 and 2,727 shares each will vest annually on March 6, 2021 and 2022 respectively.

SEC source: 0001209191-20-017923 · doc4.xml · derivative · entry 4

KIM JASON K · CIK 0001452653 · EVP & Chief Comm Banking Ofc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,377

Underlying: Common Stock · 5,377 shares

Expires not disclosed

F2 · derivative.exercise_price: Total 5,377 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,688 and 2,689 shares each will vest annually on March 6, 2021 and 2022 respectively.

F2 · derivative.exercise_date: Total 5,377 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,688 and 2,689 shares each will vest annually on March 6, 2021 and 2022 respectively.

F2 · derivative.expiration_date: Total 5,377 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,688 and 2,689 shares each will vest annually on March 6, 2021 and 2022 respectively.

SEC source: 0001209191-20-017917 · doc4.xml · derivative · entry 3

Koh Peter · CIK 0001521137 · EVP, Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,300

Underlying: Common Stock · 5,300 shares

Expires not disclosed

F1 · derivative.exercise_price: Total 5,300 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,650 shares each will vest annually on March 6, 2021 and 2022.

F1 · derivative.exercise_date: Total 5,300 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,650 shares each will vest annually on March 6, 2021 and 2022.

F1 · derivative.expiration_date: Total 5,300 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,650 shares each will vest annually on March 6, 2021 and 2022.

SEC source: 0001209191-20-017913 · doc4.xml · derivative · entry 3

Ko Alex · CIK 0001442518 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,377

Underlying: Common Stock · 5,377 shares

Expires not disclosed

F1 · derivative.exercise_price: Total 5,377 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,688 and 2,689 shares each will vest annually on March 6, 2021 and 2022 respectively.

F1 · derivative.exercise_date: Total 5,377 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,688 and 2,689 shares each will vest annually on March 6, 2021 and 2022 respectively.

F1 · derivative.expiration_date: Total 5,377 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,688 and 2,689 shares each will vest annually on March 6, 2021 and 2022 respectively.

SEC source: 0001209191-20-017912 · doc4.xml · derivative · entry 2

Van Hung Quoc · CIK 0001777549 · EVP, Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,436

Underlying: Common Stock · 7,436 shares

Expires not disclosed

F1 · derivative.exercise_price: Total 7,436 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 3,718 shares each will vest annually on March 6, 2021 and 2022.

F1 · derivative.exercise_date: Total 7,436 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 3,718 shares each will vest annually on March 6, 2021 and 2022.

F1 · derivative.expiration_date: Total 7,436 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 3,718 shares each will vest annually on March 6, 2021 and 2022.

SEC source: 0001209191-20-017903 · doc4.xml · derivative · entry 1

Stenger Thomas · CIK 0001777703 · EVP, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,233

Underlying: Common Stock · 4,233 shares

Expires not disclosed

F1 · derivative.exercise_price: Total 4,233 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,115 and 2,116 shares each will vest annually on March 6, 2021 and 2022 respectively.

F1 · derivative.exercise_date: Total 4,233 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,115 and 2,116 shares each will vest annually on March 6, 2021 and 2022 respectively.

F1 · derivative.expiration_date: Total 4,233 Restricted Stock Units (RSU) were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 2,115 and 2,116 shares each will vest annually on March 6, 2021 and 2022 respectively.

SEC source: 0001209191-20-017880 · doc4.xml · derivative · entry 3

Malone David P · CIK 0001680721 · Director · SEVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,817

Underlying: Common Stock · 7,817 shares

Expires not disclosed

F1 · derivative.exercise_price: Total 7,817 RSU were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 3,908 and 3,909 shares each will vest annually on March 6, 2021 and 2022 respectively.

F1 · derivative.exercise_date: Total 7,817 RSU were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 3,908 and 3,909 shares each will vest annually on March 6, 2021 and 2022 respectively.

F1 · derivative.expiration_date: Total 7,817 RSU were granted on March 6, 2020 pursuant to the Hope Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP"). Each RSU represents a contingent right to receive one share of Hope common stock. Installments of 3,908 and 3,909 shares each will vest annually on March 6, 2021 and 2022 respectively.

SEC source: 0001209191-20-008499 · doc5.xml · nonDerivative · entry 5

Whang Scott Yoon-suk · CIK 0001417498 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust

Disclosed balance after: 37,702

F4 · kind: Transfer of 1,000 shares of common stock from the Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust to a beneficiary grandchild who reached the age of majority on 11/5/2017.

SEC source: 0001209191-20-008499 · doc5.xml · nonDerivative · entry 4

Whang Scott Yoon-suk · CIK 0001417498 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By reporting person as UGMA custodian for grandchildren

Disclosed balance after: 11,800

F3 · date: Transfer from the Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust to reporting person as custodian of two of six grandchildren under Uniform Gifts to Minors Act. On 12/18/2019, reporting person gifted to two of six grandchildren common stock in the amount of 1,000 shares each. Reporting person disclaims beneficial ownership of all securities held by his grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act of 1934 or for any other purpose.

F3 · kind: Transfer from the Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust to reporting person as custodian of two of six grandchildren under Uniform Gifts to Minors Act. On 12/18/2019, reporting person gifted to two of six grandchildren common stock in the amount of 1,000 shares each. Reporting person disclaims beneficial ownership of all securities held by his grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act of 1934 or for any other purpose.

SEC source: 0001209191-20-008499 · doc5.xml · nonDerivative · entry 3

Whang Scott Yoon-suk · CIK 0001417498 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust

Disclosed balance after: 38,702

F3 · date: Transfer from the Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust to reporting person as custodian of two of six grandchildren under Uniform Gifts to Minors Act. On 12/18/2019, reporting person gifted to two of six grandchildren common stock in the amount of 1,000 shares each. Reporting person disclaims beneficial ownership of all securities held by his grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act of 1934 or for any other purpose.

F3 · kind: Transfer from the Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust to reporting person as custodian of two of six grandchildren under Uniform Gifts to Minors Act. On 12/18/2019, reporting person gifted to two of six grandchildren common stock in the amount of 1,000 shares each. Reporting person disclaims beneficial ownership of all securities held by his grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act of 1934 or for any other purpose.

SEC source: 0001209191-20-008499 · doc5.xml · nonDerivative · entry 2

Whang Scott Yoon-suk · CIK 0001417498 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By wife as UGMA custodian for grandchildren

Disclosed balance after: 17,700

F1 · date: Transfer from the Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust to reporting person's wife as custodian of three of six grandchildren under Uniform Gifts to Minors Act. On 12/18/2019, reporting person gifted to three of six grandchildren common stock in the amount of 1,000 shares each. Reporting person disclaims beneficial ownership of all securities held by his grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act of 1934 or for any other purpose.

F1 · kind: Transfer from the Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust to reporting person's wife as custodian of three of six grandchildren under Uniform Gifts to Minors Act. On 12/18/2019, reporting person gifted to three of six grandchildren common stock in the amount of 1,000 shares each. Reporting person disclaims beneficial ownership of all securities held by his grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act of 1934 or for any other purpose.

SEC source: 0001209191-20-008499 · doc5.xml · nonDerivative · entry 1

Whang Scott Yoon-suk · CIK 0001417498 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust

Disclosed balance after: 40,702

F1 · date: Transfer from the Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust to reporting person's wife as custodian of three of six grandchildren under Uniform Gifts to Minors Act. On 12/18/2019, reporting person gifted to three of six grandchildren common stock in the amount of 1,000 shares each. Reporting person disclaims beneficial ownership of all securities held by his grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act of 1934 or for any other purpose.

F1 · kind: Transfer from the Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust to reporting person's wife as custodian of three of six grandchildren under Uniform Gifts to Minors Act. On 12/18/2019, reporting person gifted to three of six grandchildren common stock in the amount of 1,000 shares each. Reporting person disclaims beneficial ownership of all securities held by his grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act of 1934 or for any other purpose.

F2 · ownership.direct: Amended from previously filed Form 5, which corrects the ownership form as "Indirect" to reflect ownership held in reporting person's trust.

SEC source: 0001209191-19-048030 · doc4.xml · derivative · entry 14

KIM KYU S. · CIK 0001402559 · SEVP, Eastern Region President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,600

Underlying: Common Stock · 3,600 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F12 · derivative.exercise_price: On September 1, 2016, the reporting person was granted 9,000 RSU pursuant to the 2016 ICP. RSUs convert into common stock on a one-for-one basis and vest annually in five equal installments beginning on the first anniversary of the grant date.

F12 · derivative.exercise_date: On September 1, 2016, the reporting person was granted 9,000 RSU pursuant to the 2016 ICP. RSUs convert into common stock on a one-for-one basis and vest annually in five equal installments beginning on the first anniversary of the grant date.

F12 · derivative.expiration_date: On September 1, 2016, the reporting person was granted 9,000 RSU pursuant to the 2016 ICP. RSUs convert into common stock on a one-for-one basis and vest annually in five equal installments beginning on the first anniversary of the grant date.

SEC source: 0001209191-19-048030 · doc4.xml · nonDerivative · entry 2

KIM KYU S. · CIK 0001402559 · SEVP, Eastern Region President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,743

SEC source: 0001209191-19-048030 · doc4.xml · nonDerivative · entry 1

KIM KYU S. · CIK 0001402559 · SEVP, Eastern Region President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,293

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-19-048032 · doc4.xml · derivative · entry 7

Koh Peter · CIK 0001521137 · EVP, Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,800

Underlying: Common Stock · 2,800 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: On September 1, 2016, the reporting person was granted 7,000 RSU pursuant to the 2016 ICP. RSUs convert into common stock on a one-for-one basis and vest annually in five equal installments beginning on the first anniversary of the grant date.

F5 · derivative.exercise_date: On September 1, 2016, the reporting person was granted 7,000 RSU pursuant to the 2016 ICP. RSUs convert into common stock on a one-for-one basis and vest annually in five equal installments beginning on the first anniversary of the grant date.

F5 · derivative.expiration_date: On September 1, 2016, the reporting person was granted 7,000 RSU pursuant to the 2016 ICP. RSUs convert into common stock on a one-for-one basis and vest annually in five equal installments beginning on the first anniversary of the grant date.

SEC source: 0001209191-19-048032 · doc4.xml · nonDerivative · entry 2

Koh Peter · CIK 0001521137 · EVP, Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,898

SEC source: 0001209191-19-048032 · doc4.xml · nonDerivative · entry 1

Koh Peter · CIK 0001521137 · EVP, Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,353

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-19-048031 · doc4.xml · derivative · entry 13

Ko Alex · CIK 0001442518 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,800

Underlying: Common Stock · 2,800 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F11 · derivative.exercise_price: On September 1, 2016, the reporting person was granted 7,000 RSU pursuant to the 2016 ICP. RSUs convert into common stock on a one-for-one basis and vest annually in five equal installments on September 1st of 2017, 2018, 2019, 2020, and 2021.

F11 · derivative.exercise_date: On September 1, 2016, the reporting person was granted 7,000 RSU pursuant to the 2016 ICP. RSUs convert into common stock on a one-for-one basis and vest annually in five equal installments on September 1st of 2017, 2018, 2019, 2020, and 2021.

F11 · derivative.expiration_date: On September 1, 2016, the reporting person was granted 7,000 RSU pursuant to the 2016 ICP. RSUs convert into common stock on a one-for-one basis and vest annually in five equal installments on September 1st of 2017, 2018, 2019, 2020, and 2021.

SEC source: 0001209191-19-048031 · doc4.xml · nonDerivative · entry 2

Ko Alex · CIK 0001442518 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,305

SEC source: 0001209191-19-048031 · doc4.xml · nonDerivative · entry 1

Ko Alex · CIK 0001442518 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,745

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-19-048027 · doc4.xml · derivative · entry 11

KIM JASON K · CIK 0001452653 · EVP & Chief Comm Banking Ofc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,200

Underlying: Common Stock · 3,200 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Total 8,000 Restricted Stock Units (RSU) were granted on September 1, 2016 pursuant to the 2016 ICP. Options vest annually in five equal installments on September 1st of 2017, 2018, 2019, 2020, and 2021.

F8 · derivative.exercise_date: Total 8,000 Restricted Stock Units (RSU) were granted on September 1, 2016 pursuant to the 2016 ICP. Options vest annually in five equal installments on September 1st of 2017, 2018, 2019, 2020, and 2021.

F8 · derivative.expiration_date: Total 8,000 Restricted Stock Units (RSU) were granted on September 1, 2016 pursuant to the 2016 ICP. Options vest annually in five equal installments on September 1st of 2017, 2018, 2019, 2020, and 2021.

SEC source: 0001209191-19-048027 · doc4.xml · nonDerivative · entry 2

KIM JASON K · CIK 0001452653 · EVP & Chief Comm Banking Ofc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,139