SEC Form 4 · accession 0001209191-17-062926
HOPE BANCORP INC · HOPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Koh
Director
Period of report
Nov 27, 2017
Accepted (ET)
Nov 29, 2017 · 6:11 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 Stock | Nov 27, 2017 | S | 10,000 | $17.95 | D | 143,270 | I | KOH CHARITABLE FOUNDATION |
| Common Stock | Nov 29, 2017 | S | 47,833 | $19.22 | D | 95,437 | I | KOH CHARITABLE FOUNDATION |
| Common Stock | holding | — | — | — | 3,226,092 | I | KOH-WILSHIRE LP | |
| Common Stock | holding | — | — | — | 608,261 | I | STEVEN S KOH TR KOH-WILSHIRE TRUST UA DTD 06/04/04 | |
| Common Stock | holding | — | — | — | 805 | I | STEVEN SUKHWA KOH 2007 RETAINED ANNUITY TRUST | |
| Common Stock | holding | — | — | — | 805 | I | JUNG OK KOH 2007 RETAINED ANNUITY TRUST |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | holding | — | — | — | — | — | Common Stock | 6,667 | 6,667 | D |
| Non-qualified stock option (right to buy)F2 | $17.18 | holding | — | — | — | — | Sep 1, 2026 | Common Stock | 30,000 | 30,000 | D |
| Stock Option (right to buy) | $5.02 | holding | — | — | — | Aug 1, 2016 | Jan 28, 2022 | Common Stock | 105,510 | 105,510 | D |
| Stock Option (right to buy) | $14.65 | holding | — | — | — | Aug 1, 2016 | Aug 25, 2025 | Common Stock | 6,167 | 6,167 | D |
Explanation of responses
- F1Total 20,000 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, 1/3 vested on September 1, 2017, and remaining 1/3 will vest on September 1, 2018.
- F2These 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.