Jean Lim Form 3 HANMI FINANCIAL / Jean Lim ownership change

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^*

Lim Jean

(Last) (First) (Middle)

3660 WILSHIRE BLVD., PH-A

(Street)

LOS ANGELES CA 90010

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
10/09/2015

3. Issuer Name and Ticker or Trading Symbol
HANMI FINANCIAL CORP [ HAFC ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Risk Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
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	13,646(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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
Option for Common Stock	08/07/2007(2)	08/07/2016	Option for Common Stock	1,875	152.24	D
Option for Common Stock	04/08/2010(3)	04/08/2019	Option for Common Stock	1,250	10.8	D
Option for Common Stock	12/12/2013(4)	12/12/2022	Option for Common Stock	5,500	12.54	D
Option for Common Stock	08/28/2014(5)	08/28/2023	Option for Common Stock	25,000	16.43	D

Explanation of Responses:

1. Includes 3,334 common stock grants that are scheduled to vest on August 28, 2016.

2. The option vested 20% one year from the grant date of 8/7/2006, and the remaining fully vested at the end of each four-year period through 8/7/2011.

3. The option vested 20% one year from the grant date of 4/8/2009, and the remaining fully vested at the end of each four-year period through 4/8/2014.

4. The option vested 25% immediately on the grant date of 12/12/2012, and an additional 25% vested at the end of each two-year period through 12/12/2014. The remaining 25% will vest on 12/12/2015.

5. The option vested 33.3% one year from the grant date of 8/23/2013, and an additional 33.3% vested on 8/28/2015. The remaining 33.4% will vest on 8/28/2016.

Remarks:

	/s/ Jean Lim	10/09/2015
	** 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).
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