Hanmi Financial CRO gains shares from stock vesting

Hanmi Financial’s Chief Risk Officer Michael Du reported routine equity compensation activity involving restricted stock vesting and related tax withholding.

Rhea-AI Filing Summary

Hanmi Financial’s Chief Risk Officer Michael Du reported routine equity compensation activity involving restricted stock vesting and related tax withholding.

On March 26, 2026, 2,367 shares of common stock were acquired as a grant or award, reflecting the vesting of performance-based restricted stock for a three-year period that paid out at 120% of target. In connection with this vesting, 932 shares were disposed of through tax-withholding transactions at $26.33 per share, a non-market mechanism to cover tax obligations rather than open-market sales.

After these transactions, Du directly owned 15,609 shares of Hanmi Financial common stock.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Du Michael

Role Chief Risk Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	169	$26.33	$4K
Grant/Award	Common Stock	2,367	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	763	$26.33	$20K

Holdings After Transaction: Common Stock — 15,609 shares (Direct)

Footnotes (1)

1. F1. On March 10, 2023, the reporting person was granted 1,973 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 2,367 shares (120% of payout).

Key Figures

Awarded shares: 2,367 shares Tax-withheld shares: 932 shares Tax withholding price: $26.33 per share +3 more

6 metrics

Awarded shares 2,367 shares Grant/award acquisition of common stock on March 26, 2026

Tax-withheld shares 932 shares Shares disposed of for tax withholding on March 26, 2026

Tax withholding price $26.33 per share Price used for tax-withholding dispositions of common stock

Shares after transactions 15,609 shares Total common shares directly owned following reported activity

Original RS grant 1,973 shares Restricted stock granted on March 10, 2023 before performance adjustment

Performance payout level 120% Vesting level for three-year performance period ended March 10, 2026

Key Terms

restricted stock, performance criteria, tax-withholding disposition, grant/award acquisition, +1 more

5 terms

restricted stock financial

"the reporting person was granted 1,973 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.

performance criteria financial

"subject to the satisfaction of certain performance criteria. The performance criteria for the three year period"

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.

grant/award acquisition financial

"transaction_action": "grant/award acquisition""

Chief Risk Officer financial

""officer_title": "Chief Risk Officer""

The chief risk officer is the senior executive responsible for identifying, measuring and reducing the major threats that could hurt a company’s finances or reputation, acting like a navigator who watches for storms and steers the business away from them. Investors care because effective risk oversight lowers the chance of surprise losses, legal fines or operational failures, which helps protect shareholder value and makes a company more predictable and trustworthy.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider activity did Hanmi Financial (HAFC) report for Michael Du?

Hanmi Financial reported that Chief Risk Officer Michael Du had performance-based restricted stock vest and related tax-withholding transactions. He acquired 2,367 common shares through an award, while 932 shares were withheld to cover taxes, resulting in a higher direct shareholding after the transactions.

How many Hanmi Financial (HAFC) shares did Michael Du ultimately gain?

Michael Du gained a net increase in his holdings. He received 2,367 common shares from a performance-based award and had 932 shares withheld for taxes, leaving him with 15,609 shares directly owned after the reported Form 4/A transactions were completed.

Were Michael Du’s Hanmi Financial (HAFC) transactions open-market buys or sells?

The filing shows no open-market buying or selling. Du’s activity reflects an equity grant and tax-withholding dispositions, where 932 shares were surrendered at $26.33 per share to satisfy tax obligations on vesting rather than being sold in the open market.

What triggered the 2,367-share award to Michael Du at Hanmi Financial (HAFC)?

The 2,367-share award resulted from performance-based restricted stock granted on March 10, 2023. The shares vested after performance criteria for the three-year period ended March 10, 2026 were met and certified, leading to a 120% payout of the original restricted stock grant.

How many Hanmi Financial (HAFC) shares does Michael Du own after this Form 4/A?

Following the reported grant and tax-withholding transactions, Michael Du directly owns 15,609 shares of Hanmi Financial common stock. This figure reflects his position after the 2,367-share award vested and 932 shares were withheld to cover associated tax liabilities.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/06/2026 - 05:18 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED 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^*

Du Michael

(Last) (First) (Middle)

900 WILSHIRE BLVD., SUITE1250

(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)

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

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

4. If Amendment, Date of Original Filed (Month/Day/Year)
03/30/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/26/2026		F		169	D	$26.33	14,005	D
Common Stock	03/26/2026		A		2,367(1)	A	$0	16,372	D
Common Stock	03/26/2026		F		763	D	$26.33	15,609	D

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. On March 10, 2023, the reporting person was granted 1,973 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 2,367 shares (120% of payout).

	/s/ Michael Du	04/06/2026
	** 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 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)