SEC Form 4/A · accession 0001209191-17-060986
HOPE BANCORP INC · HOPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jason K Kim
Officer — EVP & Chief Comm Banking Ofc
Period of report
Sep 1, 2016
Accepted (ET)
Nov 15, 2017 · 6:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001128361
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 1, 2016 | A | 8,000 | — | A | 75,119 | D | |
| Common StockF2 | Sep 1, 2017 | F | 601 | $16.20 | D | 53,370 | D | |
| Common StockF3 | holding | — | — | — | 4,667 | I | By spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F5,F4 | $17.18 | holding | — | — | — | — | Sep 1, 2026 | Common Stock | 30,000 | 30,000 | D |
Explanation of responses
- F1On 9/1/16, the reporting person was granted 8,000 Restricted Stock Units (RSU) pursuant to the 2016 Incentive Compensation Plan ("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. This grant of RSU was previously reported in Table II of Form 4 filed on 11/6/17, but is instead being reported in Table I of this amended filing.
- F2The amount reported in Column 5 of Table I reflects the corrected amount of securities beneficially owned after the transactions reported on Forms 4 filed on 10/27/17, 10/30/17 and 11/6/17.
- F3Total of 4,667 shares reported in Column 5 of Table I reflects the corrected amount of securities beneficially owned by the reporting person's spouse after the transaction reported on Forms 4 filed on 8/2/17, 10/27/17, and 10/30/17.
- F4Options 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.
- F5The amount reported in Column 9 of Table II reflects the corrected number of derivative securities beneficially owned after the Forms 4 filed on 10/27/17 and 10/30/17, which had erroneously omitted 6,000 shares.