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Hanmi Financial (HAFC) director awarded 2,298-share restricted stock grant

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Williams Thomas James reported acquisition or exercise transactions in this Form 4 filing.

Hanmi Financial Corp director Thomas James Williams received a grant of 2,298 shares of common stock as compensation. The award was issued as restricted stock under the 2021 Equity Compensation Plan and will vest on May 26, 2027. Following this grant, he directly holds 28,623 shares.

Positive

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Negative

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Insider Williams Thomas James
Role null
Type Security Shares Price Value
Grant/Award Common Stock 2,298 $0.00 --
Holdings After Transaction: Common Stock — 28,623 shares (Direct, null)
Footnotes (1)
  1. [object Object]
Restricted stock grant 2,298 shares Equity award on May 27, 2026
Grant price $0.00 per share Compensation-related stock grant
Post-transaction holdings 28,623 shares Direct common stock held after grant
Vesting date May 26, 2027 Restricted stock vesting under 2021 plan
Restricted stock financial
"Restricted stock grant issued under the 2021 Equity Compensation Plan, vesting on May 26, 2027."
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.
2021 Equity Compensation Plan financial
"Restricted stock grant issued under the 2021 Equity Compensation Plan, vesting on May 26, 2027."
vesting financial
"Restricted stock grant issued under the 2021 Equity Compensation Plan, vesting on May 26, 2027."
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Williams Thomas James
(Last)(First)(Middle)
900 WILSHIRE BLVD., SUITE 1250
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/27/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

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)
CodeVAmount(A) or (D)Price
Common Stock05/27/2026A2,298(1)A$028,623D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Restricted stock grant issued under the 2021 Equity Compensation Plan, vesting on May 26, 2027.
/s/ Thomas Williams05/28/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Hanmi Financial (HAFC) disclose for Thomas James Williams?

Hanmi Financial reported that director Thomas James Williams received a grant of 2,298 shares of common stock. The grant was an equity award, not an open-market purchase or sale, and increased his direct holdings to 28,623 shares.

Was the Hanmi Financial (HAFC) Form 4 transaction a purchase or sale of shares?

The Form 4 shows an acquisition through a grant, not a market trade. Williams received 2,298 restricted shares at a reported price of $0.00 per share as part of his compensation, with no open-market buying or selling involved.

What type of equity award did Hanmi Financial (HAFC) grant to its director?

The company granted Thomas James Williams restricted stock under its 2021 Equity Compensation Plan. The award consists of 2,298 shares of common stock that are subject to vesting conditions rather than being immediately unrestricted and freely tradable.

When do the newly granted Hanmi Financial (HAFC) restricted shares vest?

The restricted stock granted to director Thomas James Williams vests on May 26, 2027. Until that vesting date, the 2,298 awarded shares remain subject to the plan’s restrictions, which typically include continued service or other conditions.

How many Hanmi Financial (HAFC) shares does the director hold after this grant?

After receiving the 2,298-share restricted stock grant, Thomas James Williams directly holds 28,623 shares of Hanmi Financial common stock. This total includes the newly awarded restricted shares, as reported in the Form 4 filing’s post-transaction holdings.

What does transaction code "A" mean in the Hanmi Financial (HAFC) Form 4?

Transaction code "A" in this Form 4 indicates a grant, award, or other acquisition of shares. For Williams, it reflects a compensation-related grant of 2,298 restricted shares, rather than a discretionary purchase in the open market or a sale.