Document
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): March 21, 2017
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HOPE BANCORP, INC. |
(Exact name of registrant as specified in its charter) |
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Delaware | 000-50245 | 95-4849715 |
(State or other jurisdiction | (Commission File Number) | (IRS Employer Identification No.) |
of incorporation) | | |
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3200 Wilshire Blvd, Suite 1400, Los Angeles, CA | 90010 |
(Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code (213) 639-1700.
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(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))
Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On March 21, 2017, Hope Bancorp, Inc. (the “Company”) received a notification letter from Nasdaq Listing Qualifications (the “Notification Letter”) stating that because the Company has not yet filed its Form 10-K for the year ended December 31, 2016 (the “2016 10-K”), the Company is not in compliance with Nasdaq Listing Rule 5250(c)(1), which requires timely filing of periodic reports with the Securities and Exchange Commission. The Notification Letter has no immediate effect on the listing of the Company’s common stock on the Nasdaq Global Select Market.
The Notification Letter noted that, under the Nasdaq Listing Rules, the Company has 60 calendar days to submit a plan to regain compliance. If accepted, the Nasdaq Hearings Panel may grant the Company an exception period of up to 180 days from its original due date, or September 12, 2017, to file the 2016 10-K.
On March 24, 2017, the Company issued a news release announcing the receipt of the Notification Letter. A copy of the news release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
Exhibit No. Description of Exhibit
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99.1 | News release, dated March 24, 2017, concerning receipt of Nasdaq Notification Letter |
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.
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| Hope Bancorp, Inc. |
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Date: March 24, 2017 | /s/ Kevin S. Kim |
| Kevin S. Kim |
| President and Chief Executive Officer |
EXHIBIT INDEX
Exhibit No. Description of Exhibit
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99.1 | News release, dated March 24, 2017, concerning receipt of Nasdaq Notification Letter |