Filing Details
- Accession Number:
- 0001209191-17-050487
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-08-28 21:06:32
- Reporting Period:
- 2017-08-24
- Accepted Time:
- 2017-08-28 20:06:32
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1128361 | Hope Bancorp Inc | HOPE | National Commercial Banks (6021) | 954849715 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1301728 | Donald Byun | 3200 Wilshire Blvd. Suite 1400 Los Angeles CA 90010 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2017-08-24 | 1,026 | $16.45 | 573,228 | No | 4 | S | Indirect | By self and spouse as trustees of family trust |
| Common Stock | Disposition | 2017-08-25 | 100,000 | $16.45 | 473,228 | No | 4 | S | Indirect | By self and spouse as trustees of family trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By self and spouse as trustees of family trust |
| No | 4 | S | Indirect | By self and spouse as trustees of family trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | $0.00 | 9,000 | 9,000 | Direct | ||
| Common Stock | Non-qualified stock option (right to buy) | $17.18 | 2026-09-01 | 20,000 | 20,000 | Direct | |
| Common Stock | Stock Option (right to buy) | $5.02 | 2016-08-01 | 2022-01-28 | 35,170 | 35,170 | Direct |
| Common Stock | Stock Option (right to buy) | $14.65 | 2016-08-01 | 2025-08-25 | 5,286 | 5,286 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 9,000 | 9,000 | Direct | |
| 2026-09-01 | 20,000 | 20,000 | Direct |
| 2022-01-28 | 35,170 | 35,170 | Direct |
| 2025-08-25 | 5,286 | 5,286 | Direct |
Footnotes
- These shares were previously reported as directly beneficially owned but were transferred by reporting person and spouse to a revocable family trust on August 8, 2017. Of the total 574,254 shares that were transferred to the family trust, 1,026 shares were sold on 8/24/17 and 100,000 shares were sold on 8/25/17.
- 13,500 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, with the remaining 2/3 vesting in 2 equal annual installments thereafter.
- 20,000 stock 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.
- Received pursuant to the merger between BBCN Bancorp, Inc. and Wilshire Bancorp, Inc. effective July 29, 2016 (the "Merger"), in exchange for a stock option to acquire 50,000 shares of Wilshire Bancorp, Inc. common stock.
- Received in the Merger in exchange for a stock option to acquire 7,515 shares of Wilshire Bancorp, Inc. common stock.
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