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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Incentive Stock Option (right to buy) | $ 17.18 | (4) | 09/01/2026 | Common Stock | 30,000 | 30,000 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KIM JASON K 3200 WILSHIRE BLVD. SUITE 1400 LOS ANGELES, CA 90010 |
EVP & Chief Comm Banking Ofc |
/s/Claire Hur as attorney-in-fact for Jason K. Kim | 11/15/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | On 9/1/16, the reporting person was granted 8,000 Restricted Stock Units (RSU) pursuant to the 2016 Incentive Compensation Plan ("2016 ICP"). RSUs convert into common stock on a one-for-one basis and vest annually in five equal installments beginning on the first anniversary of the grant date. This grant of RSU was previously reported in Table II of Form 4 filed on 11/6/17, but is instead being reported in Table I of this amended filing. |
(2) | The amount reported in Column 5 of Table I reflects the corrected amount of securities beneficially owned after the transactions reported on Forms 4 filed on 10/27/17, 10/30/17 and 11/6/17. |
(3) | Total of 4,667 shares reported in Column 5 of Table I reflects the corrected amount of securities beneficially owned by the reporting person's spouse after the transaction reported on Forms 4 filed on 8/2/17, 10/27/17, and 10/30/17. |
(4) | Options granted on September 1, 2016 pursuant to the 2016 ICP. Options vest annually in five equal installments on September 1st of 2017, 2018, 2019, 2020 and 2021. |
(5) | The amount reported in Column 9 of Table II reflects the corrected number of derivative securities beneficially owned after the Forms 4 filed on 10/27/17 and 10/30/17, which had erroneously omitted 6,000 shares. |