Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HANMI FINANCIAL CORPHAFC · Entity 5020 | Chief Administrative Officer | December 15, 2017 | December 19, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
HANMI FINANCIAL CORP
Report date December 15, 2017 · Filed December 19, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 27,504 |
Reported balance
After 2017-12-15 transaction · row 1
1 source rowRow 1 · 2017-12-15 · Grant · Acquired 35 · Balance 27,504 F1: Restricted stock grant issued under the 2013 Equity Compensation Plan with vesting over one year from the grant date, December 15, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock grant issued under the 2013 Equity Compensation Plan with vesting over one year from the grant date, December 15, 2017.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 15, 2017 Filed Dec 19, 2017 21:55 UTC | HANMI FINANCIAL CORP HAFC · Entity 5020 | GrantCommon Stock | 35 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-066395 · doc4.xml · nonDerivative · entry 1 Kim Greg D · CIK 0001653931 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,504 F1 · shares: Restricted stock grant issued under the 2013 Equity Compensation Plan with vesting over one year from the grant date, December 15, 2017. Read SEC document |
| March 22, 2017 Filed Mar 24, 2017 19:08 UTC | HANMI FINANCIAL CORP HAFC · Entity 5020 | GrantCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-022741 · doc4.xml · nonDerivative · entry 1 Kim Greg D · CIK 0001653931 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,469 F1 · shares: Common stock grant issued under the 2013 Equity Compensation Plan with vesting over three years from the grant date, March 22, 2017. Read SEC document |
| December 02, 2016 Filed Dec 5, 2016 18:11 UTC | HANMI FINANCIAL CORP HAFC · Entity 5020 | SaleCommon Stock | 1,000 | $31.30 | $31,300.00 |
DisclosureSEC source: 0001209191-16-153257 · doc4.xml · nonDerivative · entry 1 Kim Greg D · CIK 0001653931 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,469 Read SEC document |
| November 22, 2016 Filed Nov 22, 2016 22:18 UTC | HANMI FINANCIAL CORP HAFC · Entity 5020 | SaleCommon Stock | 3,000 | $31.40 | $94,200.00 |
DisclosureSEC source: 0001209191-16-151756 · doc4.xml · nonDerivative · entry 5 Kim Greg D · CIK 0001653931 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,469 Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 22:18 UTC | HANMI FINANCIAL CORP HAFC · Entity 5020 | Exercise / conversionStock Options · Derivative | 25,000 | $16.43 Strike: $16.43 | $410,750.00 |
DisclosureSEC source: 0001209191-16-151756 · doc4.xml · derivative · entry 8 Kim Greg D · CIK 0001653931 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2023-08-28 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_date: The option vested one-third each year on the anniversary of the grant date with full vesting occurring on 8/28/2016. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 22:18 UTC | HANMI FINANCIAL CORP HAFC · Entity 5020 | Exercise / conversionStock Options · Derivative | 5,500 | $12.54 Strike: $12.54 | $68,970.00 |
DisclosureSEC source: 0001209191-16-151756 · doc4.xml · derivative · entry 7 Kim Greg D · CIK 0001653931 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 5,500 shares Expires 2022-12-12 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. F4 · derivative.exercise_date: 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. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 22:18 UTC | HANMI FINANCIAL CORP HAFC · Entity 5020 | Exercise / conversionStock Options · Derivative | 1,000 | $10.80 Strike: $10.80 | $10,800.00 |
DisclosureSEC source: 0001209191-16-151756 · doc4.xml · derivative · entry 6 Kim Greg D · CIK 0001653931 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,500 Underlying: Common Stock · 1,000 shares Expires 2019-04-08 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. F3 · derivative.exercise_date: 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. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 22:18 UTC | HANMI FINANCIAL CORP HAFC · Entity 5020 | Tax withholdingCommon Stock | 16,000 | $30.81 | $492,960.00 |
DisclosureSEC source: 0001209191-16-151756 · doc4.xml · nonDerivative · entry 4 Kim Greg D · CIK 0001653931 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,469 F2 · price: 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. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 22:18 UTC | HANMI FINANCIAL CORP HAFC · Entity 5020 | Exercise / conversionCommon Stock | 25,000 | $16.43 | $410,750.00 |
DisclosureSEC source: 0001209191-16-151756 · doc4.xml · nonDerivative · entry 3 Kim Greg D · CIK 0001653931 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,469 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. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 22:18 UTC | HANMI FINANCIAL CORP HAFC · Entity 5020 | Exercise / conversionCommon Stock | 5,500 | $12.54 | $68,970.00 |
DisclosureSEC source: 0001209191-16-151756 · doc4.xml · nonDerivative · entry 2 Kim Greg D · CIK 0001653931 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,469 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. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 22:18 UTC | HANMI FINANCIAL CORP HAFC · Entity 5020 | Exercise / conversionCommon Stock | 1,000 | $10.80 | $10,800.00 |
DisclosureSEC source: 0001209191-16-151756 · doc4.xml · nonDerivative · entry 1 Kim Greg D · CIK 0001653931 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,969 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. F1 · balance_after: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.