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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | 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 control number. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Whang Scott Yoon-suk 3200 WILSHIRE BLVD., SUITE 1400 LOS ANGELES, CA 90010 |
 X |  |  |  |
/s/ Claire Hur as attorney-in-fact for Scott Yoon-Suk Whang | 02/14/2019 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Transfer from the Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust to reporting person's wife as custodian of three of six grandchildren under Uniform Gifts to Minors Act. On 12/31/2018, reporting person gifted to three of six grandchildren common stock in the amount of 1,000 shares each. Reporting person disclaims beneficial ownership of all securities held by his grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act of 1934 or for any other purpose. |
(2) | This amount reflects the corrected number of securities beneficially owned after the vesting of 4,500 restricted stock units on Form 4 filed on 9/5/2018. |
(3) | Transfer from the Scott Whang & Lydia Whang Trust Under Agreement 07/19/2001 S&O Revocable Trust to reporting person as custodian of two of six grandchildren under Uniform Gifts to Minors Act. On 12/31/2018, reporting person gifted to two of six grandchildren common stock in the amount of 1,000 shares each. Reporting person disclaims beneficial ownership of all securities held by his grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act of 1934 or for any other purpose. |
(4) | This amount reflects the transfer of 3,900 shares of common stock from the custodian to a beneficiary grandchild who reached the age of majority on 11/5/2017. |