UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_________________
FORM
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CURRENT REPORT
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On August 16, 2019, Hanmi Financial Corporation (the “Company”) received a letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) stating that Nasdaq has determined that the Company is not in compliance with Nasdaq Listing Rule 5250(c)(1) due to the Company’s failure to timely file its Quarterly Report on Form 10-Q for the period ended June 30, 2019 (“Form 10-Q”) with the Securities and Exchange Commission.
Under the Nasdaq Listing Rules, the Company must file its Form 10-Q or submit a plan to Nasdaq to regain compliance by October 15, 2019. The Company expects to file its Form 10-Q by October 15, 2019. If the Company is unable to file its Form 10-Q prior to October 15, 2019, the Company intends to submit a compliance plan on or prior to that date. If Nasdaq accepts the Company’s plan, Nasdaq can grant an exception of up to 180 calendar days from the filing’s due date to regain compliance. The Company may regain compliance at any time during the 180-day period upon filing with the SEC its Form 10-Q, and any subsequent periodic filing that is due within the 180-day period.
On August 22, 2019, the Company issued a press release announcing that, on August 16, 2019, it received a letter from the Listing Qualifications Department of Nasdaq with respect to its failure to timely file its Form 10-Q.
The information provided in Item 7.01 of this report, including Exhibit 99.1, shall not be deemed “filed” for any purpose, nor shall the information or Exhibit 99.1 be deemed incorporated by reference in any filings under the Securities Act of 1933, as amended.
Cautionary Note Regarding Forward-Looking Statements. Except for historical information contained in this Form 8-K and the press release attached as an exhibit hereto, this Form 8-K and the press release contain forward-looking statements which involve certain risks and uncertainties that could cause actual results to differ materially from those expressed or implied by these statements. Please refer to the cautionary note in the press release regarding these forward-looking statements.
(d) Exhibits.
| Exhibit No. | Description | |
| 99.1 | Press Release dated August 22, 2019 | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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.
| HANMI FINANCIAL CORPORATION | ||
| Date: August 22, 2019 | By: | /s/ Bonita I. Lee |
| Bonita I. Lee | ||
| President and Chief Executive Officer | ||