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

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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): June 10, 2020

 

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)

 

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

 

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))

 

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 June 10, 2020. 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  23,078,233  485,843  10,815  2,877,097
             
Kiho Choi  23,436,356  127,746  10,789  2,877,097
             
Christie K. Chu  22,792,069  775,133  7,689  2,877,097
             
Harry Chung  23,233,965  333,036  7,890  2,877,097
             
Scott Diehl  23,308,276  259,171  7,444  2,877,097
             
Bonita I. Lee  23,491,549  72,757  10,585  2,877,097
             
David L. Rosenblum  23,232,854  303,841  38,196  2,877,097
             
Thomas J. Williams  23,493,665  71,732  9,494  2,877,097
             
Michael Yang  23,265,119  300,378  9,394  2,877,097

 

(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
17,265,767  6,276,339  32,785  2,877,097

 

 

(3)The ratification of the appointment of Crowe LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020. The voting results are as follows:

 

For  Against  Abstain
26,061,713  243,572  146,703

 

 

 

 

 

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: June 11, 2020 By: /s/ Bonita I. Lee
    Bonita I. Lee
    President and Chief Executive Officer

 

 

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