UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
(Amendment No. 1)
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date
of Report (Date of Earliest Event Reported): April 21, 2011
HANMI FINANCIAL CORPORATION
(Exact Name of Registrant as Specified in its Charter)
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| Delaware
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000-30421
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95-4788120 |
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.) |
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3660 Wilshire Boulevard, Penthouse Suite A
Los Angeles, California
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90010 |
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| (Address of Principal Executive Offices)
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(Zip Code) |
Registrant’s Telephone Number, Including Area Code: (213) 382-2200
Not Applicable
(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):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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TABLE OF CONTENTS
Explanatory Note
This Amendment No. 1 to Current Report on Form 8-K/A (this “Amendment”) is being filed to amend
and restate Exhibit 99.1 to the Current Report on Form 8-K filed by Hanmi Financial Corporation (the
“Company”) with the U.S. Securities and Exchange Commission on April 21, 2011 (the “Original 8-K”).
This Amendment is being filed in order to delete three tables that appear at the end of Exhibit 99.1 filed
with the Original 8-K, which are duplicative of tables found elsewhere in Exhibit 99.1 to the Original 8-K
and which contain certain typographical errors. With the exception of the foregoing, no other
modifications to the Original 8-K (or Exhibit 99.1) are made by this Amendment.
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| Item 2.02 |
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Results of Operations and Financial Condition. |
This information set forth under “Item 2.02. Results of Operations and Financial Condition,”
including Exhibit 99.1 attached hereto, shall not be deemed “filed” for purposes of Section 18 of
the Securities and Exchange Act of 1934, as amended (the “Exchange Act”) or otherwise subject to
the liabilities of that section, nor shall it be deemed incorporated by reference in any filing
under the Securities Act of 1933, as amended, or the Exchange Act, regardless of any general
incorporation language in such filing.
On April 21, 2011, Hanmi Financial Corporation (“Hanmi Financial”) issued a press release
announcing its financial results for the three months ended March 31, 2011. A copy of the press
release is attached as Exhibit 99.1 to this Form 8-K.
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| Item 9.01 |
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Financial Statements and Exhibits. |
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Exhibits |
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99.1
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Press release issued by Hanmi Financial dated April 21, 2011. |
Forward-Looking Statements
This form contains forward-looking statements, which are included in accordance with the “safe
harbor” provisions of the Private Securities Litigation Reform Act of 1995. In some cases, you can
identify forward-looking statements by terminology such as “may,” “will,” “should,” “could,”
“expects,” “plans,” “intends,” “anticipates,” “believes,” “estimates,” “predicts,” “potential,” or
“continue,” or the negative of such terms and other comparable terminology. Although Hanmi
believes that the expectations reflected in the forward-looking statements are reasonable, it
cannot guarantee future results, levels of activity, performance or achievements. These statements
involve known and unknown risks, uncertainties and other factors that may cause Hanmi’s 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 Hanmi’s operations; the effect of regulatory
orders Hanmi or the Bank has entered into and potential future supervisory action against Hanmi or
the Bank; general economic and business conditions internationally, nationally and in those areas
in which the Bank operates; 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 the
Bank’s interest rate spread; risks of natural disasters related to the Bank’s 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 to receive regulatory approval for the Bank to declare dividends
to Hanmi; adequacy of the Bank’s allowance for loan losses, credit quality and the effect of credit
quality on the Bank’s provision for credit losses and allowance for loan losses; changes in the
financial performance and/or condition of the Bank’s borrowers and the ability of the Bank’s
borrowers to perform under the terms of their loans and other terms of credit agreements; Hanmi’s
ability to successfully integrate acquisitions it may make; Hanmi’s ability to control expenses;
and changes in securities markets. In addition, Hanmi sets forth certain risks in its reports
filed with the Securities and Exchange Commission, including Hanmi’s Annual Report on Form 10-K for
the fiscal year ended December 31, 2010 and current and periodic reports filed with the Securities
and Exchange Commission thereafter, which could cause actual results to differ from those
projected. You should understand that it is not possible to predict or identify all such risks.
Consequently, you should not consider such disclosures to be a complete discussion of all potential
risks or uncertainties. Hanmi undertakes no obligation to update such forward-looking statements
except as required by law.