Y. Ha - Dec 31, 2021 Form 5 Insider Report for HOPE BANCORP INC (HOPE)

Role
Director
Signature
/s/Claire Hur as AIF for Daisy Ha
Stock symbol
HOPE
Transactions as of
Dec 31, 2021
Transactions value $
$0
Form type
5
Date filed
2/11/2022, 04:22 PM
Previous filing
May 24, 2021
Next filing
May 23, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HOPE Common Stock Gift $0 +141K $0.00 141K Jul 21, 2021 By Self as Trustee of Kana Trust F2
holding HOPE Common Stock 459K Dec 31, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding HOPE Non-qualified Stock Option (right to buy) 20K Dec 31, 2021 Common Stock 20K $17.18 Direct F3
holding HOPE Non-qualified Stock Option (right to buy) 4.4K Dec 31, 2021 Common Stock 4.4K $14.65 Direct F4
holding HOPE Non-qualified Stock Option (right to buy) 28.1K Dec 31, 2021 Common Stock 28.1K $15.23 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Total amount of securities beneficially owned in Column 5 of Table I in this Form 5 includes the reporting owner's unvested Restricted Stock Units ("RSU") granted on May 20, 2021 pursuant to the HOPE Bancorp, Inc. 2019 Incentive Compensation Plan ("2019 ICP") previously reported in Table II. Outstanding RSU shares will vest according to previously disclosed vesting schedules.
F2 On July 21, 2021, 141,427 Hope shares were transferred as a gift to a trust (Kana Trust) of which the reporting owner is the trustee.
F3 These options were granted on September 1, 2016 pursuant to the BBCN Bancorp, Inc. 2016 Incentive Compensation Plan. These options have fully vested as of September 1, 2018.
F4 Received in exchange for 6,262 shares of Wilshire Bancorp, Inc. ("Wilshire") common stock in connection with merger of Wilshire Bancorp, Inc. into HOPE Bancorp, Inc. (former BBCN Bancorp, Inc.)(the "Merger"). On the effective date of the Merger, the closing price of Wilshire's common stock was $10.74 per share, and the closing price of HOPE Bancorp, Inc. was $15.37 per share.
F5 Received in the Merger in exchange for a stock option to acquire 40,000 shares of Wilshire common stock.