<SEC-DOCUMENT>0001171843-18-006133.txt : 20180816
<SEC-HEADER>0001171843-18-006133.hdr.sgml : 20180816
<ACCEPTANCE-DATETIME>20180816130716
ACCESSION NUMBER:		0001171843-18-006133
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20180816
ITEM INFORMATION:		Other Events
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20180816
DATE AS OF CHANGE:		20180816

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			HANMI FINANCIAL CORP
		CENTRAL INDEX KEY:			0001109242
		STANDARD INDUSTRIAL CLASSIFICATION:	NATIONAL COMMERCIAL BANKS [6021]
		IRS NUMBER:				954788120
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-30421
		FILM NUMBER:		181022912

	BUSINESS ADDRESS:	
		STREET 1:		3660 WILSHIRE BLVD SUITE PH-A
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90010
		BUSINESS PHONE:		2133822200
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>f8k_081618.htm
<DESCRIPTION>FORM 8-K
<TEXT>
<html><head><title></title></head><body><div style="margin-top: 3pt; margin-bottom: 12pt;"><div style="font-size: 1pt; border-top: Black 2.5pt solid; border-bottom: Black 1.1pt solid; width: 100%;"><font style="font-size: 10pt;">&#160;</font></div></div><p style="text-align: center;"><font style="font-size: 14pt;"><strong>UNITED STATES</strong><br /><strong>SECURITIES AND EXCHANGE COMMISSION</strong><br /><strong>Washington, D.C. 20549</strong><br />_____________________</font></p><p style="text-transform: uppercase; text-align: center;"><font style="font-size: 14pt;"><strong>Form 8-K</strong><br />_____________________</font></p><p style="text-align: center;"><font style="font-size: 12pt;"><strong>CURRENT REPORT</strong></font></p><p style="text-align: center;"><font style="font-size: 12pt;"><strong>Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</strong></font></p><p align="center"><font style="font-size: 10pt;">Date of Report (Date of earliest event Reported): <!--August 16, 2018-->August 16, 2018 &#160;</font></p><p align="center"><font style="font-size: 12pt;"><strong>HANMI FINANCIAL CORPORATION</strong></font><br /><font style="font-size: 10pt;">(Exact Name of Registrant as Specified in Charter)</font></p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="top"><td align="center" width="33%"><font style="font-size: 10pt;"><strong>Delaware</strong></font></td><td align="center" width="34%"><font style="font-size: 10pt;"><strong>000-30421</strong></font></td><td align="center" width="33%"><font style="font-size: 10pt;"><strong>95-4788120</strong></font></td></tr><tr valign="top"><td align="center" width="33%"><font style="font-size: 10pt;">(State or Other Jurisdiction of Incorporation)</font></td><td align="center" width="34%"><font style="font-size: 10pt;">(Commission File Number)</font></td><td align="center" width="33%"><font style="font-size: 10pt;">(I.R.S. 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[&#160;&#160; ]</p><div style="margin-top: 12pt; margin-bottom: 3pt;"><div style="font-size: 1pt; border-top: Black 1.1pt solid; border-bottom: Black 2.5pt solid; width: 100%;"><font style="font-size: 10pt;">&#160;</font></div>&#160;</div><hr style="page-break-after: always;" noshade="noshade" /><p><font style="font-size: 10pt;">  <strong>  </strong></font></p><p><font style="font-size: 10pt;"><strong>Item 8.01. Other Events.</strong></font></p><p><font style="font-size: 10pt;"><p style="margin-left: 0in; text-indent: 0.5in; margin-right: 0in;" align="justify"><font style="font-family: 'Times New Roman';">On August 16, 2018, Hanmi Financial Corporation (&#8220;Hanmi&#8221;), the holding company for Hanmi Bank, announced that it has received all regulatory approvals to complete its pending merger with SWNB Bancorp, Inc. (&#8220;SWNB&#8221;) and the merger of their subsidiary banks.&#160; </font></p><p style="margin-left: 0in; text-indent: 0.5in; margin-right: 0in;" align="justify"><font style="font-family: 'Times New Roman';">The merger of Hanmi and SWNB remains subject to the satisfaction of customary closing conditions, including SWNB stockholder approval.&#160; Hanmi expects to close the transaction late in the third quarter or early in the fourth quarter of 2018.</font></p><p style="margin-left: 0in; text-indent: 0.5in; margin-right: 0in;" align="justify"><font style="font-family: 'Times New Roman';">A copy of the press release dated August 16, 2018, is filed as Exhibit 99.1 hereto and is incorporated herein by reference.</font></p></font></p><p><font style="font-size: 10pt;"><strong>  </strong></font></p><p><font style="font-size: 10pt;"><strong>Item 9.01. Financial Statements and Exhibits.</strong></font></p><p><font style="font-size: 10pt;"><p style="margin-left: 0in; margin-right: 0in;" align="justify"><font style="font-size: 10pt; font-family: 'times new roman';"><font style="font-size: 11pt;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<font style="font-size: 10pt;">&#160;&#160;&#160; (d)&#160;&#160;&#160;&#160;&#160;&#160;&#160; Exhibits</font></font></font></p><table class="mce-item-table" style="border-collapse: collapse; height: 60px;" width="419"><tr><td style="text-align: justify; vertical-align: bottom;"><font style="font-size: 10pt;"><font style="font-size: 10pt; font-family: 'times new roman';"><font style="font-size: 10pt; font-family: 'times new roman';"><font style="font-size: 10pt; font-family: 'times new roman';"><u><strong><font style="font-family: 'times new roman', roman, serif; font-size: 10pt;">Exhibit No.</font></strong></u></font></font></font></font></td><td style="text-align: justify; vertical-align: bottom;"><strong><u><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">Description</font></u></strong></td></tr><tr><td style="text-align: justify; vertical-align: bottom;">&#160;</td><td style="text-align: justify; vertical-align: bottom;">&#160;</td></tr><tr><td style="text-align: justify; vertical-align: bottom;"><font style="font-size: 10pt; font-family: 'times new roman';"><font style="font-size: 10pt; font-family: 'times new roman';"><a href="exh_991.htm" rel="nofollow">99.1</a></font></font></td><td style="text-align: justify; vertical-align: bottom;"><font style="font-size: 10pt; font-family: 'times new roman';"><font style="font-size: 10pt; font-family: 'times new roman';"><a href="exh_991.htm" rel="nofollow">Press Release dated August 16, 2018</a></font></font></td></tr></table><p style="margin-left: 0in; margin-right: 0in;" align="justify"><font style="font-size: 10pt; font-family: 'times new roman';"><strong><font style="font-size: 11pt;">Forward-Looking Statements</font></strong></font></p><p style="margin-left: 0in; text-indent: 0.5in; margin-right: 0in;" align="justify"><font style="font-size: 10pt; font-family: 'times new roman';"><font style="font-size: 11pt;">This Current Report on Form 8-K contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These forward-looking statements include, but are not limited to, statements about (1) the benefits of the merger between Hanmi and SWNB, including anticipated future results, cost savings and accretion to reported earnings that may be realized from the merger; (2) Hanmi and SWNB&#8217;s plans, objectives, expectations and intentions and other statements contained in this press release that are not historical facts; and (3) other statements identified by words such as &#8220;expects,&#8221; &#8220;anticipates,&#8221; &#8220;intends,&#8221; &#8220;plans,&#8221; &#8220;believes,&#8221; &#8220;seeks,&#8221; &#8220;estimates&#8221; or words of similar meaning.</font></font></p><p style="margin-left: 0in; text-indent: 0.5in; margin-right: 0in;" align="justify"><font style="font-size: 10pt; font-family: 'times new roman';"><font style="font-size: 11pt;">Forward-looking statements involve risks and uncertainties that may cause actual results to differ materially from those in such statements. The following factors, among others, could cause actual results to differ materially from the anticipated results expressed in the forward-looking statements: the businesses of Hanmi and SWNB may not be combined successfully, or such combination may take longer than expected; the cost savings from the merger may not be fully realized or may take longer than expected; operating costs, customer loss and business disruption following the merger may be greater than expected; the stockholders of SWNB may fail to approve the merger; credit and interest rate risks associated with Hanmi&#8217;s and SWNB&#8217;s respective businesses; and difficulties associated with achieving expected future financial results. Additional factors that could cause actual results to differ materially from those expressed in the forward-looking statements are discussed in Hanmi&#8217;s reports (such as the Annual Report on Form 10-K, Quarterly Reports on Form 10-Q and Current Reports on Form 8-K) filed with the SEC and available at the SEC&#8217;s Internet website (</font><font style="font-size: 11pt;">www.sec.gov</font><font style="font-size: 11pt;">). All subsequent written and oral forward-looking statements concerning the proposed transaction or other matters attributable to Hanmi or SWNB or any person acting on their behalf are expressly qualified in their entirety by the cautionary statements above. Except as required by law, Hanmi and SWNB do not undertake any obligation to update any forward-looking statement to reflect circumstances or events that occur after the date the forward-looking statement is made.</font></font></p><p style="margin-left: 0in; margin-right: 0in;"><font style="font-size: 10pt; font-family: 'times new roman';"><strong><font style="font-size: 11pt;">Important Additional Information and Where to Find It</font></strong></font></p><p style="margin-left: 0in; text-indent: 0.5in; margin-right: 0in;" align="justify"><font style="font-size: 10pt; font-family: 'times new roman';"><font style="font-size: 11pt;">This communication is being made in respect of the proposed merger between Hanmi and SWNB. This communication does not constitute an offer to sell or the solicitation of an offer to buy any securities or a solicitation of any vote or approval.</font></font></p><p style="margin-left: 0in; text-indent: 0.5in; margin-right: 0in;" align="justify"><font style="font-size: 10pt; font-family: 'times new roman';"><font style="font-size: 11pt;">In connection with the proposed transaction, Hanmi filed a registration statement on Form S-4 with the SEC on June 22, 2018, that includes a proxy statement of SWNB and a prospectus of Hanmi (the &#8220;Proxy Statement/Prospectus&#8221;), as well as other relevant documents regarding the proposed transaction. The registration statement on Form S-4 has been declared effective and the Proxy Statement/Prospectus was first mailed to stockholders of SWNB on or about July 18, 2018.&#160; <strong>Before making any voting or investment decision, investors and security holders of SWNB are urged to carefully read the entire registration statement and Proxy Statement/Prospectus, as well as any amendments or supplements to these documents, because they will contain important information about the proposed transaction. </strong>The documents filed by Hanmi with the SEC may be obtained free of charge at the SEC&#8217;s website at www.sec.gov. In addition, the documents filed by Hanmi may be obtained free of charge at its website at www.hanmi.com or by contacting Hanmi Financial Corporation, 3660 Wilshire Boulevard, Penthouse Suite A, Los Angeles, California 90010, Attention: Richard Pimentel, Corporate Finance Officer, telephone (213) 427-3191.</font></font></p><p style="margin-left: 3.9pt; text-indent: 32.1pt; margin-right: 0in;" align="justify"><font style="font-size: 10pt; font-family: 'times new roman';"><font style="font-size: 11pt;">Hanmi and SWNB and certain of their directors and executive officers may be deemed to be participants in the solicitation of proxies of SWNB&#8217;s shareholders in connection with the proposed transaction.&#160; Information about the directors and executive officers of Hanmi and their ownership of Hanmi common stock is set forth in the proxy statement for Hanmi&#8217;s 2018 Annual Meeting of Shareholders, as filed with the SEC on Schedule 14A on April 13, 2018.&#160; Additional information regarding the interests of those participants and other persons who may be deemed participants in the transaction may be obtained by reading the Proxy Statement/Prospectus regarding the proposed merger. Free copies of this document may be obtained as described in the preceding paragraph.</font></font></p><div id="mceResizeHandlen" class="mce-resizehandle" style="cursor: n-resize; margin: 0px; padding: 0px; left: 214px; top: 42.5px;">&#160;<br /></div><div id="mceResizeHandlee" class="mce-resizehandle" style="cursor: e-resize; margin: 0px; padding: 0px; left: 423.5px; top: 73px;">&#160;<br /></div><div id="mceResizeHandles" class="mce-resizehandle" style="cursor: s-resize; margin: 0px; padding: 0px; left: 214px; top: 103.5px;">&#160;<br /></div><div id="mceResizeHandlew" class="mce-resizehandle" style="cursor: w-resize; margin: 0px; padding: 0px; left: 4.5px; top: 73px;">&#160;<br /></div><div id="mceResizeHandlenw" class="mce-resizehandle" style="cursor: nw-resize; margin: 0px; padding: 0px; left: 4.5px; top: 42.5px;">&#160;<br /></div><div id="mceResizeHandlene" class="mce-resizehandle" style="cursor: ne-resize; margin: 0px; padding: 0px; left: 423.5px; top: 42.5px;">&#160;<br /></div><div id="mceResizeHandlese" class="mce-resizehandle" style="cursor: se-resize; margin: 0px; padding: 0px; left: 423.5px; top: 103.5px;">&#160;<br /></div><div id="mceResizeHandlesw" class="mce-resizehandle" style="cursor: sw-resize; margin: 0px; padding: 0px; left: 4.5px; top: 103.5px;">&#160;<br /></div></font></p><p><font style="font-size: 10pt;"></font></p><p><font style="font-size: 10pt;"></font></p><hr style="page-break-after: always;" noshade="noshade" /><p align="center"><font style="font-size: 10pt;"><strong>SIGNATURE</strong></font></p><p><font style="font-size: 10pt;">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.</font></p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="top"><td valign="top" width="49%"><font style="font-size: 10pt;">&#160;</font></td><td style="font-size: 12pt;" colspan="2" valign="top"><font style="font-size: 10pt;"><strong>HANMI FINANCIAL CORPORATION</strong></font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;">&#160;</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;"></font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">Date: August 16, 2018</font></td><td width="2%"><font style="font-size: 10pt;">By:&#160;</font></td><td style="text-decoration: underline;" width="49%"><font style="font-size: 10pt;">/s/ C. G. Kum&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;">C. G. Kum</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;">President and Chief Executive Officer</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;"></font></td></tr></table><p /></body></html>
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<TYPE>EX-99.1
<SEQUENCE>2
<FILENAME>exh_991.htm
<DESCRIPTION>PRESS RELEASE
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<!DOCTYPE HTML PUBLIC "-//W3C//DTD HTML 4.0 Transitional//EN"><html lang="en-US"><head><title>EdgarFiling</title><meta content="text/html; charset=windows-1252" ><meta name="GENERATOR" content="MSHTML 8.00.7601.18094" ></head><body bgcolor="#ffffff"><p style="text-align: right;"><strong>EXHIBIT 99.1</strong></p><p style="text-align: center;"><strong>Hanmi Financial Corporation Announces Receipt of All Regulatory Approvals to Complete Pending Merger with SWNB Bancorp</strong></p><p style="text-align: center;" ></p><p>
 <p align="justify">LOS ANGELES, Aug.  16, 2018  (GLOBE NEWSWIRE) -- Hanmi Financial Corporation (NASDAQ: HAFC) (&#8220;Hanmi&#8221;), the holding company for Hanmi Bank, announced today that it has received all regulatory approvals to complete its pending merger with SWNB Bancorp, Inc. (&#8220;SWNB&#8221;) and the merger of their subsidiary banks.&#160;<br ></p>  <p align="justify">The merger of Hanmi and SWNB remains subject to the satisfaction of customary closing conditions, including SWNB stockholder approval.&#160; We expect to close the transaction late in the third quarter or early in the&#160;fourth quarter of 2018.</p>  <p align="justify"><strong>About Hanmi Financial Corporation </strong><br >Headquartered in Los Angeles, California, Hanmi Financial Corporation owns Hanmi Bank, which serves multi-ethnic communities through its network of 40 full-service branches and 9 loan production offices in California, Texas, Illinois, Virginia, New Jersey, New York, Colorado, Washington and Georgia. Hanmi Bank specializes in real estate, commercial, SBA and trade finance lending to small and middle market businesses. Additional information is available at www.hanmi.com.</p>  <p align="justify"><strong>Forward-Looking Statements </strong><br >This press release contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These forward-looking statements include, but are not limited to, statements about (1) the benefits of the merger between Hanmi and SWNB, including anticipated future results, cost savings and accretion to reported earnings that may be realized from the merger; (2) Hanmi and SWNB&#8217;s plans, objectives, expectations and intentions and other statements contained in this press release that are not historical facts; and (3) other statements identified by words such as &#8220;expects,&#8221; &#8220;anticipates,&#8221; &#8220;intends,&#8221; &#8220;plans,&#8221; &#8220;believes,&#8221; &#8220;seeks,&#8221; &#8220;estimates&#8221; or words of similar meaning.</p>  <p align="justify">Forward-looking statements involve risks and uncertainties that may cause actual results to differ materially from those in such statements. The following factors, among others, could cause actual results to differ materially from the anticipated results expressed in the forward-looking statements: the businesses of Hanmi and SWNB may not be combined successfully, or such combination may take longer than expected; the cost savings from the merger may not be fully realized or may take longer than expected; operating costs, customer loss and business disruption following the merger may be greater than expected; the stockholders of SWNB may fail to approve the merger; credit and interest rate risks associated with Hanmi&#8217;s and SWNB&#8217;s respective businesses; and difficulties associated with achieving expected future financial results. Additional factors that could cause actual results to differ materially from those expressed in the forward-looking statements are discussed in Hanmi&#8217;s reports (such as the Annual Report on Form 10-K, Quarterly Reports on Form 10-Q and Current Reports on Form 8-K) filed with the SEC and available at the SEC&#8217;s Internet website (www.sec.gov). All subsequent written and oral forward-looking statements concerning the proposed transaction or other matters attributable to Hanmi or SWNB or any person acting on their behalf are expressly qualified in their entirety by the cautionary statements above. Except as required by law, Hanmi and SWNB do not undertake any obligation to update any forward-looking statement to reflect circumstances or events that occur after the date the forward-looking statement is made.<br ><br ><strong>Important Additional Information</strong></p>  <p align="justify">This communication is being made in respect of the proposed merger between Hanmi and SWNB. This communication does not constitute an offer to sell or the solicitation of an offer to buy any securities or a solicitation of any vote or approval.</p>  <p align="justify">In connection with the proposed transaction, Hanmi filed a registration statement on Form S-4 with the SEC on June 22, 2018, that includes a proxy statement of SWNB and a prospectus of Hanmi (the &#8220;Proxy Statement/Prospectus&#8221;), as well as other relevant documents regarding the proposed transaction. The registration statement on Form S-4 has been declared effective and the Proxy Statement/Prospectus was first mailed to stockholders of SWNB on or about July 18, 2018.&#160; <strong>Before making any voting or investment decision, investors and security holders of SWNB are urged to carefully read the entire registration statement and Proxy Statement/Prospectus, as well as any amendments or supplements to these documents, because they will contain important information about the proposed transaction. </strong>The documents filed by Hanmi with the SEC may be obtained free of charge at the SEC&#8217;s website at www.sec.gov. In addition, the documents filed by Hanmi may be obtained free of charge at its website at www.hanmi.com or by contacting Hanmi Financial Corporation, 3660 Wilshire Boulevard, Penthouse Suite A, Los Angeles, California 90010, Attention: Richard Pimentel, Corporate Finance Officer, telephone (213) 427-3191.</p>  <p align="justify">Hanmi and SWNB and certain of their directors and executive officers may be deemed to be participants in the solicitation of proxies of SWNB&#8217;s shareholders in connection with the proposed transaction.&#160; Information about the directors and executive officers of Hanmi and their ownership of Hanmi common stock is set forth in the proxy statement for Hanmi&#8217;s 2018 Annual Meeting of Shareholders, as filed with the SEC on Schedule 14A on April 13, 2018.&#160; Additional information regarding the interests of those participants and other persons who may be deemed participants in the transaction may be obtained by reading the Proxy Statement/Prospectus regarding the proposed merger. Free copies of this document may be obtained as described in the preceding paragraph.</p>  <p><strong>Hanmi Financial Corporation Investor Contacts:</strong><br >Romolo (Ron) Santarosa<br >Senior Executive Vice President &amp; Chief Financial Officer<br >213-427-5636</p>  <p>Richard Pimentel<br >Senior Vice President &amp; Corporate Finance Officer<br >213-427-3191</p>  <p>Lasse Glassen<br >Investor Relations<br >Addo Investor Relations<br >424-238-6249</p> </p><p ></p></body></html>
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