Hanmi Financial CRO reports small tax share disposal

Q: Was the Hanmi Financial (HAFC) Form 4 transaction a stock sale?

The Form 4 transaction was not an open-market stock sale. It reflects a tax-withholding disposition, where 205 shares were delivered at $25.55 per share to satisfy tax liabilities tied to equity compensation, a common administrative adjustment for insiders.

Hanmi Financial Corp Chief Risk Officer Michael Du reported a small insider transaction related to taxes.

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Form Type

Rhea-AI Filing Summary

Hanmi Financial Corp Chief Risk Officer Michael Du reported a small insider transaction related to taxes. On March 10, 2026, 205 shares of common stock were disposed of at $25.55 per share as a tax-withholding transaction, not an open-market sale. Following this adjustment, Du directly holds 12,409 shares of Hanmi Financial common stock.

Insider Trade Summary

Exercise Price or Tax Liability: 205 shares

Exercise Price or Tax Liability 1 txn

Insider Du Michael

Role Chief Risk Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	205	$25.55	$5K

Holdings After Transaction: Common Stock — 12,409 shares (Direct)

FAQ

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

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

Hanmi Financial’s Chief Risk Officer, Michael Du, reported a Form 4 transaction where 205 common shares were disposed of to cover tax obligations. The shares were valued at $25.55 each and represent a routine tax-withholding event, not a market sale.

Was the Hanmi Financial (HAFC) Form 4 transaction a stock sale?

The Form 4 transaction was not an open-market stock sale. It reflects a tax-withholding disposition, where 205 shares were delivered at $25.55 per share to satisfy tax liabilities tied to equity compensation, a common administrative adjustment for insiders.

How many Hanmi Financial (HAFC) shares does Michael Du hold after the transaction?

After the reported tax-withholding disposition, Michael Du directly holds 12,409 shares of Hanmi Financial common stock. This post-transaction balance shows that the 205 shares used for tax purposes were small relative to his remaining ownership in the company.

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

Transaction code F on the Form 4 indicates “Payment of exercise price or tax liability by delivering securities.” For Hanmi Financial, it means 205 shares were delivered at $25.55 per share to cover Michael Du’s tax obligations, rather than being sold on the market.

Does the Hanmi Financial (HAFC) Form 4 show any option exercises or derivative activity?

The data shows no derivative transactions or option exercises associated with this filing. The transaction involves only common stock used for tax withholding, and the derivativeSummary section is empty, indicating no remaining derivative positions reported in this specific Form 4.

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Form 4 Insider Transactions: What Each Field Means →

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Accepted by SEC EDGAR 03/12/2026 - 09:55 PM EDT

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

90017

(City)

(State)

(Zip)

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

3. Date of Earliest Transaction (Month/Day/Year)
03/10/2026

4. 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 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	03/10/2026		F		205	D	$25.55	12,409	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

	/s/ Michael Du	03/12/2026
	** 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.

Source: View Original Filing on SEC EDGAR