Hanmi Financial (HAFC) CRO logs 205-share tax withholding on Form 4

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.

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

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

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.

FAQ

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.