Offerings // HANMI FINANCIAL CORP

HAFC offering history

Every offering-related filing in HANMI FINANCIAL CORP’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 1,000 filings back to Aug 31, 2009.

Last executed offering

Aug 19, 2021

424B5 — priced deal (shares or notes)

Last registration (announced)

Apr 3, 2026

S-3ASR — capacity, not a sale

Executed, last 12 months

424B pricings + 8-K 3.02 sales

Registered, last 12 months

S-1/S-3/F-series registrations

Date	Filing		What it means
Apr 3, 2026	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Apr 18, 2024	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Mar 24, 2023	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Aug 19, 2021	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Aug 18, 2021	S-3MEF →	REGISTERED	S-3MEF registration — capacity to sell shares, not a sale yet
Aug 18, 2021	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Aug 17, 2021	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Aug 17, 2021	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Dec 30, 2020	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Dec 16, 2020	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Jul 18, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jul 12, 2018	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Mar 20, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Mar 16, 2017	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Mar 14, 2017	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Mar 14, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Mar 14, 2017	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Nov 16, 2011	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Nov 15, 2011	S-3MEF →	REGISTERED	S-3MEF registration — capacity to sell shares, not a sale yet
Nov 14, 2011	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jun 27, 2011	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jun 27, 2011	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jun 27, 2011	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jun 27, 2011	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jun 20, 2011	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Oct 14, 2010	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jul 15, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jul 13, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jun 28, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jun 11, 2010	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 28, 2010	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
May 19, 2010	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 18, 2010	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Apr 1, 2010	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Feb 4, 2010	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Nov 30, 2009	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Nov 19, 2009	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Oct 2, 2009	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Sep 8, 2009	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)

HAFC offering-related filings from SEC EDGAR, newest first (capped at 40). Each links to the original document.

Two honest limits. (1) A 424B takedown can price shares or notes— EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.

Is a shelf active now? →Do they need money? →Red flags →Full HAFC workspace →

HAFC offering FAQ

When did HAFC last execute an offering?

Per SEC filings, HANMI FINANCIAL CORP's most recent priced offering document is a 424B5 filed 2021-08-19. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did HAFC last announce or register an offering?

The most recent registration is a S-3ASR filed 2026-04-03. A registration is capacity to sell shares — not a sale.

Does an offering always mean dilution?

Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.