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Section 1: 8-K (FORM 8-K)

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

__________________________________ 

 

FORM 8-K

 

CURRENT REPORT

 

PURSUANT TO SECTION 13 OR 15(D) OF

THE SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported): May 22, 2019

 

HANMI FINANCIAL CORPORATION

(Exact Name of Registrant as Specified in its Charter)

 

Delaware   000-30421   95-4788120

(State or Other Jurisdiction

of Incorporation)

  (Commission File No.)  

(I.R.S. Employer

Identification No.)

 

3660 Wilshire Boulevard, PH-A, Los Angeles, California   90010
(Address of Principal Executive Offices)   (Zip Code)

 

Registrant’s telephone number, including area code: (213) 382-2200

 

Not Applicable

(Former Name or Former Address, if Changed Since Last Report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class  

Trading

Symbol(s)

  Name of each exchange on which
registered
Common Stock, $0.001 par value   HAFC   Nasdaq Global Select Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company [ ]

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [ ]

 

 

 

Item 5.07Submission of Matters to a Vote of Security Holders.

 

The annual meeting of stockholders of Hanmi Financial Corporation (the “Company”) was held on May 22, 2019. At the meeting, the stockholders voted on the following items:

 

(1)Nine board nominees to serve for terms expiring at the 2020 Annual Meeting of Stockholders and until their successors are elected and qualified. The voting results are as follows:

 

Nominee   For   Against   Abstain   Broker Non-Votes
                 
John J. Ahn   25,118,493   496,013   2,283   2,869,052
                 
Kiho Choi   25,462,834   147,922   6,033   2,869,052
                 
Christie K. Chu   25,433,450   181,056   2,283   2,869,052
                 
Harry H. Chung   25,461,177   153,329   2,283   2,869,052
                 
Scott R. Diehl   25,464,901   149,605   2,283   2,869,052
                 
Bonita I. Lee   25,467,802   146,494   2,493   2,869,052
                 
David L. Rosenblum   25,466,657   147,674   2,458   2,869,052
                 
Thomas J. Williams   25,466,657   147,674   2,458   2,869,052
                 
Michael M. Yang   25,466,581   147,925   2,283   2,869,052

 

(2)The advisory vote on executive compensation paid to the Company’s Named Executive Officers as described in the proxy statement for the meeting. The voting results are as follows: 

 

For   Against   Abstain   Broker Non-Votes
24,358,509   1,238,056   20,224   2,869,052

 

(3)The ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2019. The voting results are as follows:

 

For   Against   Abstain   Broker Non-Votes
27,743,487   731,601   10,753   -

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

   

HANMI FINANCIAL CORPORATION

 

 

DATE: May 22, 2019 By: /s/ Bonita I. Lee
    Bonita I. Lee
    President and Chief Executive Officer

 

 

 

 

 

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