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Hanmi Financial (HAFC) CBO gets 4,455-share award, uses stock for taxes

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(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Hanmi Financial Corp Chief Banking Officer Anthony I. Kim reported a performance-based stock award and related tax withholding in company shares. On March 26, 2026, he received 4,455 shares of common stock as a grant/award when a restricted stock grant vested at 120% of payout after meeting three-year performance criteria. To cover tax obligations, a total of 1,537 shares of common stock were used for tax-withholding dispositions at $26.33 per share, which is a non-market transaction rather than an open-market sale. Following these compensation-related entries, Kim directly holds 47,750 shares of Hanmi Financial common stock.

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Insider Kim Anthony I.
Role Chief Banking Officer
Type Security Shares Price Value
Tax Withholding Common Stock 339 $26.33 $9K
Grant/Award Common Stock 4,455 $0.00 --
Tax Withholding Common Stock 1,198 $26.33 $32K
Holdings After Transaction: Common Stock — 44,493 shares (Direct)
Footnotes (1)
  1. [object Object]
Shares granted/vested 4,455 shares Performance-based restricted stock vesting on March 26, 2026 at 120% payout
Tax-withholding shares 1,537 shares Shares delivered to cover tax liabilities at vesting of restricted stock
Tax-withholding price $26.33 per share Value used for non-market tax-withholding dispositions of common stock
Post-transaction holdings 47,750 shares Direct common stock held by Anthony Kim after March 26, 2026 entries
Original restricted grant 3,713 shares Restricted stock granted March 10, 2023 subject to performance criteria
Performance payout level 120% Vested shares exceeded target, resulting in 4,455 shares from 3,713 granted
restricted stock financial
"the reporting person was granted 3,713 shares of restricted stock which would vest"
Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.
tax-withholding disposition financial
"transaction_action": "tax-withholding disposition""
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.
performance criteria financial
"subject to the satisfaction of certain performance criteria. The performance criteria for the three year period"
grant, award, or other acquisition financial
"transaction_code_description": "Grant, award, or other acquisition""
vesting financial
"resulting in the vesting of 4,455 shares (120% of payout)"
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Kim Anthony I.
(Last)(First)(Middle)
900 WILSHIRE BLVD., SUITE 1250
(Street)
LOS ANGELES CALIFORNIA 90017
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
HANMI FINANCIAL CORP [ HAFC ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Banking Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
03/26/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock03/26/2026F339D$26.3344,493D
Common Stock03/26/2026A4,455(1)A$048,948D
Common Stock03/26/2026F1,198D$26.3347,750D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. On March 10, 2023, the reporting person was granted 3,713 shares of restricted stock which would vest on or after March 10, 2026, subject to the satisfaction of certain performance criteria. The performance criteria for the three year period ended March 10, 2026 were met and certified on March 26, 2026, resulting in the vesting of 4,455 shares (120% of payout).
/s/ Anthony Kim03/30/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did Hanmi Financial (HAFC) insider Anthony Kim report on this Form 4?

Hanmi Financial Chief Banking Officer Anthony I. Kim reported a performance-based stock award vesting and related tax-withholding dispositions. He received 4,455 common shares as compensation and delivered 1,537 shares at $26.33 each to satisfy tax obligations, all as direct holdings.

How many Hanmi Financial (HAFC) shares did Anthony Kim receive and why?

Anthony Kim received 4,455 shares of Hanmi Financial common stock as a grant/award when restricted stock vested at 120% of payout. The award was tied to performance criteria measured over a three-year period ending March 10, 2026 and certified on March 26, 2026.

Were Anthony Kim’s Hanmi Financial (HAFC) transactions open-market sales or tax withholding?

The Form 4 shows tax-withholding dispositions, not open-market sales. A total of 1,537 shares were delivered at $26.33 per share to cover tax liabilities arising from the vesting of restricted stock, a common non-market mechanism associated with equity compensation.

How many Hanmi Financial (HAFC) shares does Anthony Kim hold after these transactions?

After the reported grant and tax-withholding dispositions, Anthony Kim directly holds 47,750 shares of Hanmi Financial common stock. This figure reflects his updated ownership position following the vesting of performance-based restricted stock and the share-based settlement of related tax obligations.

What performance conditions affected Anthony Kim’s Hanmi Financial (HAFC) restricted stock?

Kim’s restricted stock grant from March 10, 2023 was subject to performance criteria over a three-year period ending March 10, 2026. Those criteria were met and certified on March 26, 2026, resulting in 4,455 shares vesting, equal to 120% of the target payout level.

When were Anthony Kim’s Hanmi Financial (HAFC) performance shares granted and when did they vest?

Anthony Kim was granted 3,713 restricted shares on March 10, 2023. These were scheduled to vest on or after March 10, 2026, subject to performance criteria. The criteria were met, and on March 26, 2026, 4,455 shares vested, reflecting a 120% performance payout.