<SEC-DOCUMENT>0001171843-18-006831.txt : 20181003
<SEC-HEADER>0001171843-18-006831.hdr.sgml : 20181003
<ACCEPTANCE-DATETIME>20181003120717
ACCESSION NUMBER:		0001171843-18-006831
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20181003
ITEM INFORMATION:		Other Events
FILED AS OF DATE:		20181003
DATE AS OF CHANGE:		20181003

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:		181104335

	BUSINESS ADDRESS:	
		STREET 1:		3660 WILSHIRE BLVD SUITE PH-A
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90010
		BUSINESS PHONE:		2133822200
</SEC-HEADER>
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<TYPE>8-K
<SEQUENCE>1
<FILENAME>f8k_100318.htm
<DESCRIPTION>FORM 8-K
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<P STYLE="font-size: 10pt; font-weight: bold; text-align: center; margin: 0pt 0">UNITED STATES</P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0"><B>SECURITIES AND EXCHANGE COMMISSION</B></P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0"><B>WASHINGTON, D.C. 20549</B></P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0">&nbsp;<B>__________________________________</B></P>



<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; font-weight: bold; margin: 0pt 0; text-align: center">FORM 8-K</P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0"><B>&nbsp;</B></P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0"><B>CURRENT REPORT</B></P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0">PURSUANT TO SECTION 13 OR 15(D) OF</P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0">THE SECURITIES EXCHANGE ACT OF 1934</P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0">Date of Report (Date of earliest event reported): <U>October 3,
2018</U></P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0"><B><U>HANMI FINANCIAL CORPORATION</U></B></P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0">(Exact Name of Registrant as Specified in its Charter)</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">&nbsp;</P>

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    <TD STYLE="vertical-align: bottom; width: 30%; text-align: center"><FONT STYLE="font-size: 10pt"><U>Delaware</U></FONT></TD>
    <TD STYLE="vertical-align: top; width: 3%; text-align: center"><FONT STYLE="font-size: 10pt">&nbsp;</FONT></TD>
    <TD STYLE="vertical-align: bottom; width: 34%; text-align: center"><FONT STYLE="font-size: 10pt"><U>000-30421</U></FONT></TD>
    <TD STYLE="vertical-align: top; width: 3%"><FONT STYLE="font-size: 10pt">&nbsp;</FONT></TD>
    <TD STYLE="vertical-align: bottom; width: 30%; text-align: center"><FONT STYLE="font-size: 10pt"><U>95-4788120</U></FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD>
        <P STYLE="font-size: 10pt; text-align: center; text-indent: 0in; margin: 0pt 0">(State or Other Jurisdiction</P>
        <P STYLE="font-size: 10pt; text-align: center; text-indent: 0in; margin: 0pt 0">of Incorporation)</P></TD>
    <TD STYLE="text-align: center; text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-align: center; text-indent: 0in"><FONT STYLE="font-size: 10pt">(Commission File No.)</FONT></TD>
    <TD STYLE="text-align: center; text-indent: 0in">&nbsp;</TD>
    <TD>
        <P STYLE="font-size: 10pt; text-align: center; text-indent: 0in; margin: 0pt 0">(I.R.S. Employer</P>
        <P STYLE="font-size: 10pt; text-align: center; text-indent: 0in; margin: 0pt 0">Identification No.)</P></TD></TR>
</TABLE>
<P STYLE="font-size: 10pt; margin: 0pt 0">&nbsp;</P>

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<TR>
    <TD STYLE="vertical-align: bottom; width: 67%"><FONT STYLE="font-size: 10pt"><U>3660 Wilshire Boulevard, PH-a, Los Angeles, California</U></FONT></TD>
    <TD STYLE="vertical-align: top; width: 3%; text-align: center"><FONT STYLE="font-size: 10pt">&nbsp;</FONT></TD>
    <TD STYLE="vertical-align: bottom; width: 30%; text-align: center"><FONT STYLE="font-size: 10pt"><U>90010</U></FONT></TD></TR>
<TR>
    <TD STYLE="vertical-align: bottom; text-indent: 0in"><FONT STYLE="font-size: 10pt">(Address of Principal Executive Offices)</FONT></TD>
    <TD STYLE="vertical-align: top; text-align: center; text-indent: 0in">&nbsp;</TD>
    <TD STYLE="vertical-align: bottom; text-align: center; text-indent: 0in"><FONT STYLE="font-size: 10pt">(Zip Code)</FONT></TD></TR>
</TABLE>
<P STYLE="font-size: 10pt; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; margin: 0pt 0">Registrant&rsquo;s telephone number, including area code:&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<U>(213) 382-2200</U></P>

<P STYLE="font-size: 10pt; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0"><U>Not Applicable</U></P>

<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0">(Former Name or Former Address, if Changed Since Last Report)</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">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):</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">[&nbsp; ]&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Written communications pursuant
to Rule 425 under the Securities Act (17 CFR 230.425)</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">[ &nbsp;]&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Soliciting material pursuant to
Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</P>

<P STYLE="font-size: 10pt; text-align: justify; text-indent: -27pt; margin: 0pt 0 0pt 27pt">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">[&nbsp; ]&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications
pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</P>

<P STYLE="font-size: 10pt; text-align: justify; text-indent: -27pt; margin: 0pt 0 0pt 27pt">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">[&nbsp; ]&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications
pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</P>

<P STYLE="font-size: 10pt; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; margin: 0pt 0; color: #231F20">Indicate by check mark whether the registrant is an emerging growth company
as defined in Rule 405 of the Securities Act of 1933 (&sect;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act
of 1934 (&sect;240.12b-2 of this chapter).</P>

<P STYLE="font-size: 10pt; margin: 0pt 0; color: #231F20">&nbsp;</P>

<P STYLE="font-size: 10pt; margin: 0pt 0; color: #231F20; text-indent: 4in; text-align: right">Emerging growth company [&nbsp; ]</P>

<P STYLE="font-size: 10pt; margin: 0pt 0; color: #231F20">&nbsp;</P>

<P STYLE="font-size: 10pt; margin: 0pt 0; color: #231F20">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. [ &nbsp;]</P>

<P STYLE="font-size: 10pt; margin: 0pt 0; color: #231F20">&nbsp;</P>

<P STYLE="font-size: 10pt; margin: 0pt 0; color: #231F20"></P>

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<P STYLE="font-size: 10pt; margin: 0pt 0; color: #231F20">&nbsp;</P>

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<TD STYLE="width: 0"></TD><TD STYLE="width: 1in"><B>Item 8.01</B></TD><TD><B><U>Other Events.</U></B></TD></TR></TABLE>

<P STYLE="font-size: 10pt; text-align: justify; text-indent: 0.5in; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: justify; text-indent: 0.5in; margin: 0pt 0"><FONT STYLE="background-color: white">On October
3, 2018, Hanmi Financial Corporation (the &ldquo;Company&rdquo;) announced that it has filed a complaint in the United States District
Court for the Southern District of Texas against SWNB Bancorp, Inc. (&ldquo;SWNB&rdquo;) and SWNB&rsquo;s directors, alleging breach
of contract under the Agreement and Plan of Merger, dated as of May 18, 2018, by and between the Company and SWNB (the &ldquo;Merger
Agreement&rdquo;) and breach of the implied covenant of good faith and fair dealing under the voting agreements between the Company
and each of the directors. The complaint alleges, among other things, that SWNB and each of the directors willfully and materially
breached their obligations under the Merger Agreement and voting agreements to use its reasonable best efforts to do or cause to
be done all things necessary to consummate the transaction, including the directors&rsquo; obligation to recommend that SWNB shareholders
vote in favor of the Merger Agreement. The lawsuit seeks damages for losses incurred as a result of SWNB&rsquo;s and the directors&rsquo;
breach of the agreements as well as the termination fee payable under the Merger Agreement.</FONT></P>

<P STYLE="font-size: 10pt; text-align: justify; text-indent: 0.5in; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0"><B>Forward-Looking Statements</B></P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: justify; text-indent: 0.5in; margin: 0pt 0"><FONT STYLE="background-color: white">This Current
Report on Form 8-K contains forward-looking statements, which are included in accordance with the &ldquo;safe harbor&rdquo; provisions
of the Private Securities Litigation Reform Act of 1995. In some cases, you can identify forward-looking statements by terminology
such as &ldquo;may,&rdquo; &ldquo;will,&rdquo; &ldquo;should,&rdquo; &ldquo;could,&rdquo; &ldquo;expects,&rdquo; &ldquo;plans,&rdquo;
&ldquo;intends,&rdquo; &ldquo;anticipates,&rdquo; &ldquo;believes,&rdquo; &ldquo;estimates,&rdquo; &ldquo;predicts,&rdquo; &ldquo;potential,&rdquo;
or &ldquo;continue,&rdquo; or the negative of such terms and other comparable terminology. Although we believe that the expectations
reflected in the forward-looking statements are reasonable, we cannot guarantee future results, levels of activity, performance
or achievements. All statements other than statements of historical fact are &ldquo;forward&ndash;looking statements&rdquo; for
purposes of federal and state securities laws, including, but not limited to, statements about anticipated future operating and
financial performance, financial position and liquidity, business strategies, regulatory and competitive outlook, investment and
expenditure plans, capital and financing needs and availability, plans and objectives of management for future operations, developments
regarding our capital plans, strategic alternatives for a possible business combination, merger or sale transaction, and other
similar forecasts and statements of expectation and statements of assumption underlying any of the foregoing. These statements
involve known and unknown risks, uncertainties and other factors that may cause our actual results, levels of activity, performance
or achievements to differ from those expressed or implied by the forward-looking statement. These factors include the following:
failure to maintain adequate levels of capital and liquidity to support our operations; the effect of potential future supervisory
action against us or Hanmi Bank; general economic and business conditions internationally, nationally and in those areas in which
we operate; volatility and deterioration in the credit and equity markets; changes in consumer spending, borrowing and savings
habits; availability of capital from private and government sources; demographic changes; competition for loans and deposits and
failure to attract or retain loans and deposits; fluctuations in interest rates and a decline in the level of our interest rate
spread; risks of natural disasters related to our real estate portfolio; risks associated with Small Business Administration loans;
failure to attract or retain key employees; changes in governmental regulation, including, but not limited to, any increase in
FDIC insurance premiums; ability of Hanmi Bank to make distributions to Hanmi Financial Corporation, which is restricted by certain
factors, including Hanmi Bank&rsquo;s retained earnings, net income, prior distributions made, and certain other financial tests;
ability to identify a suitable strategic partner or to consummate a strategic transaction; adequacy of our allowance for loan and
lease losses; credit quality and the effect of credit quality on our provision for loan and lease losses and allowance for loan
and lease losses; changes in the financial performance and/or condition of our borrowers and the ability of our borrowers to perform
under the terms of their loans and other terms of credit agreements; our ability to control expenses; and changes in securities
markets. In addition, we set forth certain risks in our reports filed with the U.S. Securities and Exchange Commission, including,
Item 1A of our Annual Report on Form 10-K for the year ended December 31, 2017, our Quarterly Reports on Form 10-Q, and Current
Reports on Form 8-K that we will file hereafter, which could cause actual results to differ from those projected. We undertake
no obligation to update such forward-looking statements except as required by law.</FONT></P>

<P STYLE="font-size: 10pt; text-align: justify; text-indent: 0.5in; margin: 0pt 0"><FONT STYLE="background-color: white">&nbsp;</FONT></P>

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<P STYLE="font-size: 10pt; text-align: center; margin: 0pt 0"><B>SIGNATURES</B></P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0; text-indent: 0.5in">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.</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0">&nbsp;</P>

<P STYLE="font-size: 10pt; text-align: justify; margin: 0pt 0"><B>&nbsp;</B></P>

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<TR STYLE="vertical-align: top; text-align: left">
    <TD STYLE="width: 33%">&nbsp;</TD>
    <TD STYLE="width: 34%">&nbsp;</TD>
    <TD STYLE="width: 33%"><B>HANMI FINANCIAL CORPORATION </B></TD></TR>
<TR STYLE="vertical-align: top; text-align: left">
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD></TR>
<TR STYLE="vertical-align: top; text-align: left">
    <TD>DATE: October 3, 2018</TD>
    <TD STYLE="text-align: right">By:&nbsp;&nbsp;&nbsp;</TD>
    <TD STYLE="border-bottom: Black 1pt solid">/s/ C. G. Kum</TD></TR>
<TR STYLE="vertical-align: top; text-align: left">
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD>
    <TD>C. G. Kum</TD></TR>
<TR STYLE="vertical-align: top; text-align: left">
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD>
    <TD>Chief Executive Officer</TD></TR>
</TABLE>

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