SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 08/01/2016 | 3. Issuer Name and Ticker or Trading Symbol HOPE BANCORP INC [ HOPE ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 08/11/2016 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common stock | 613(1) | D | |
Common stock (Restricted stock) | 1,150(2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Incentive Stock Option (Right to buy) | 11/05/2012 | 11/05/2012 | Common stock | 7,034(3) | 9.32 | D | |
Employee Incentive Stock Option (Right to buy) | 03/31/2014 | 03/31/2014 | Common stock | 1,195(4) | 15.79 | D |
Explanation of Responses: |
1. Amended from previously filed Form 3, which did not reflect the number of shares as converted from Wilshire Bancorp, Inc. and assumed by BBCN Bancorp, Inc. using the exchange ratio of 0.7034 per share as provided by the Merger Agreement between Wilshire Bancorp, Inc. and BBCN Bancorp, Inc. (now Hope Bancorp, Inc.) (the "Merger Agreement"). Received in exchange for 872 shares of Wilshire Bancorp, Inc. common stock at the exchange ratio of 0.7034 per share as provided by the Merger Agreement. |
2. Amended from previously filed Form 3, which did not reflect the number of shares as converted from Wilshire Bancorp, Inc. and assumed by BBCN Bancorp, Inc. using the exchange ratio of 0.7034 per share as provided by the Merger Agreement. Restricted stock granted on April 8, 2015 and March 16, 2016 under the Wilshire Bancorp, Inc. 2008 Stock Incentive Plan (the "Plan"), including dividends issued to date. Restricted stock granted under the Plan vests annually in four equal installments over three years, with 25% vesting on the grant date and the remainder vesting on the anniversary of the grant date annually thereafter. |
3. No change from previously filed Form 3. Option granted on November 5, 2012 under the Wilshire Bancorp, Inc. 2008 Stock Incentive Plan. Options have fully vested. |
4. No change from previously filed Form 3. Option granted on March 31, 2014 under the Wilshire Bancorp, Inc. 2008 Stock Incentive Plan. Options vest annually in four equal installments. The first, second and third installments vested on March 31st of 2014, 2015 and 2016. The fourth installment will vest on March 31, 2017. |
Remarks: |
Claire Hur as attorney-in-fact for Domenico Roy Tallerico | 09/20/2016 | |
** Signature of Reporting Person | Date | |
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 5 (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. |