# EDGAR Filing Document

**Accession Number:** 0001128361
**File Stem:** 0001209191-23-009373
**Filing Date:** 2023-2
**Character Count:** 12803
**Document Hash:** 7fd2256456fa8d1f08d573f75f4d6edd
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-009373.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001209191-23-009373

**CONFORMED SUBMISSION TYPE**: 5

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Malone David P
- **CENTRAL INDEX KEY:** 0001680721

**FILING VALUES:**
- **FORM TYPE:** 5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-50245
- **FILM NUMBER:** 23632611

**MAIL ADDRESS:**
- **STREET 1:** 3200 WILSHIRE BLVD.
- **STREET 2:** SUITE 1400
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90010
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HOPE BANCORP INC
- **CENTRAL INDEX KEY:** 0001128361
- **STANDARD INDUSTRIAL CLASSIFICATION:** NATIONAL COMMERCIAL BANKS [6021]
- **IRS NUMBER:** 954849715
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 3200 WILSHIRE BLVD
- **STREET 2:** SUITE 1400
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90010
- **BUSINESS PHONE:** 2136391700

**MAIL ADDRESS:**
- **STREET 1:** 3200 WILSHIRE BLVD
- **STREET 2:** SUITE 1400
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90010

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BBCN BANCORP INC
- **DATE OF NAME CHANGE:** 20111207

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NARA BANCORP INC
- **DATE OF NAME CHANGE:** 20001115

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 5

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Malone David P<br><sub>(Last) (First) (Middle)</sub><br>3200 WILSHIRE BLVD.<br>SUITE 1400<br><sub>(Street)</sub><br>LOS ANGELES, CA 90010<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-31 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>HOPE BANCORP INC [ HOPE ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock |  |  |  |  |  |  |  | 90391<sup>(1)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Performance-based Restricted Stock Units | <sup>(2)</sup> |  |  |  |  |  |  | <sup>(2)</sup> | <sup>(2)</sup> | Common Stock | 4540 |  | 4540 | D |  |
| Performance-based Restricted Stock Units | <sup>(3)</sup> |  |  |  |  |  |  | <sup>(3)</sup> | <sup>(3)</sup> | Common Stock | 4540 |  | 4540 | D |  |
| Performance-based Restricted Stock Units | <sup>(4)</sup> |  |  |  |  |  |  | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock | 2269 |  | 2269 | D |  |
| Performance-based Restricted Stock Units | <sup>(5)</sup> |  |  |  |  |  |  | <sup>(5)</sup> | <sup>(5)</sup> | Common Stock | 10250 |  | 10250 | D |  |
| Performance-based Restricted Stock Units | <sup>(6)</sup> |  |  |  |  |  |  | <sup>(6)</sup> | <sup>(6)</sup> | Common Stock | 10250 |  | 10250 | D |  |
| Performance-based Restricted Stock Units | <sup>(7)</sup> |  |  |  |  |  |  | <sup>(7)</sup> | <sup>(7)</sup> | Common Stock | 6424 |  | 6424 | D |  |
| Performance-based Restricted Stock Units | <sup>(8)</sup> |  |  |  |  |  |  | <sup>(8)</sup> | <sup>(8)</sup> | Common Stock | 6424 |  | 6424 | D |  |
| Non-qualified stock option (right to buy) | $17.18 |  |  |  |  |  |  | <sup>(9)</sup> | 2026-09-01 | Common Stock | 20000 |  | 20000 | D |  |

---

### Footnotes:

(1) Total amount of securities beneficially owned in Column 5 of Table I in this Form 5 reflects 968 shares disposed for tax liability following the vesting of Restricted Stock Unit ("RSU") in March 2022.

(2) 4,540 performance-based restricted stock units ("PRSU") were granted on May 19, 2021 pursuant to the 2017 LTIP and 2019 ICP and subjectto a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative return on common tangibleequity in relation to the bank's stated peer group over a 12-quarter period from January 1, 2021 through December 31, 2023. Each PRSUrepresents a contingent right to receive one share of Hope common stock at Target performance. The "Target" number of shares is reported.
Possible payout ranges from 0% of Target if the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the
Target goal is not met, 100% to 149% on a prorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goalis met or exceeded.

(3) 4,540 PRSU were granted on May 19, 2021 pursuant to the 2017 LTIP and 2019 ICP and subject to a 3-year cliff vesting. Vesting of these
PRSU shares depends upon Hope's achievement of a specified absolute earnings per share in relation to the bank's stated budget over a 12-month period from January 1, 2021 through December 31, 2021. Each PRSU represents a contingent right to receive one share of Hopecommon stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Thresholdgoal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the
Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

(4) 2,269 PRSU were granted on May 19, 2021 pursuant to the 2017 LTIP and 2019 ICP and subject to a 3-year cliff vesting. Vesting of these
PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the bank's statedpeer group over a 12-quarter period from January 1, 2021 through December 31, 2023. Each PRSU represents a contingent right to receiveone share of Hope common stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Targetif the Threshold goal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on aprorated basis if the Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

(5) 10,250 PRSU were granted on April 22, 2020 pursuant to the 2017 LTIP and 2019 ICP and subject to a 3-year cliff vesting. Vesting of these
PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index overan 11-quarter period from April 1, 2020 through December 31, 2022. Each PRSU represents a contingent right to receive one share of Hopecommon stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Thresholdgoal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the
Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

(6) 10,250 PRSU were granted on April 22, 2020 pursuant to the 2017 LTIP and 2019 ICP and subject to a 3-year cliff vesting. Vesting of these
PRSU shares depends upon Hope's achievement of a specified relative return on average assets in relation to the KRX Index over an 11-quarter period from April 1, 2020 through December 31, 2022. Each PRSU represents a contingent right to receive one share of Hope commonstock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is notmet, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goalis met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

(7) 6,424 PRSU were granted on May 23, 2019 pursuant to the 2017 LTIP and 2019 ICP and subject to a 3-year cliff vesting. Vesting of these
PRSU depends upon Hope's achievement of a specified relative return on average assets in relation to the KRX Index during the 11-quarterperiod from April 1, 2019 through December 31, 2021. Each PRSU represents a contingent right to receive one share of Hope common stock at
Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Threshold goal is not met,
50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the Target goal ismet but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

(8) 6,424 PRSU were granted on May 23, 2019 pursuant to the 2017 LTIP and 2019 ICP and subject to a 3-year cliff vesting. Vesting of these PRSU shares depends upon Hope's achievement of a specified relative ranking of the total stockholder return in relation to the KRX Index overan 11-quarter period from April 1, 2019 through December 31, 2021. Each PRSU represents a contingent right to receive one share of Hopecommon stock at Target performance. The "Target" number of shares is reported. Possible payout ranges from 0% of Target if the Thresholdgoal is not met, 50% to 99% on a prorated basis if the Threshold is met but the Target goal is not met, 100% to 149% on a prorated basis if the
Target goal is met but the Stretch goal is not met, and 150% if the Stretch goal is met or exceeded.

(9) Non-qualified stock options granted on September 1, 2016 pursuant to the 2016 ICP. These options have fully vested as of September 1, 2018.

**Signature:** /s/Claire Hur as AIF for David Malone  
**Date:** 2023-02-14

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**