-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, T1CfdkaNTI1xVz0QNakhjgs3YjWaUJz1+n6g6jWekjgWv73J2DT6Wr3bQgWSSaNk scFVljPvVHgzOpA7yEwNiw== 0000950150-97-000159.txt : 19970221 0000950150-97-000159.hdr.sgml : 19970221 ACCESSION NUMBER: 0000950150-97-000159 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970211 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CATHAY BANCORP INC CENTRAL INDEX KEY: 0000861842 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 954274680 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41381 FILM NUMBER: 97523973 BUSINESS ADDRESS: STREET 1: 777 N BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 BUSINESS PHONE: 2136254700 MAIL ADDRESS: STREET 1: 777 NORTH BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CATHAY BANK EMPLOYEE STOCK OWNERSHIP PLAN CENTRAL INDEX KEY: 0001032216 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 777 NORTH BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 BUSINESS PHONE: 2136254749 MAIL ADDRESS: STREET 1: 777 NORTH BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 SC 13G/A 1 AMENDMENT NO. 3 TO SCHEDULE 13G 1 OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response...14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3)* CATHAY BANCORP, INC. ----------------------------------------- (Name of Issuer) Common Stock, $0.01 par value ----------------------------------------- (Title of Class of Securities) 149150104 ----------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 8 pages 2 CUSIP NO. 149150104 13G --------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CATHAY BANK EMPLOYEE STOCK OWNERSHIP PLAN --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] --------------------------------------------------------------------- 3 SEC USE ONLY --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION LOS ANGELES, CALIFORNIA --------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES -------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 530,800 SHARES EACH REPORTING PARTICIPANTS HAVE THE RIGHT TO VOTE PERSON WITH THE SHARES ALLOCATED TO THEIR ACCOUNTS; UNVOTED OR UNALLOCATED SHARES WILL BE VOTED BY THE TRUSTEES. -------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 530,800 SHARES --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.98% --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* EP --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 4 pages 3 Item 1. (a) NAME OF ISSUER: Cathay Bancorp, Inc., a Delaware corporation ("Issuer") (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 777 North Broadway Los Angeles, California 90012 Item 2. (a) NAME OF PERSON FILING: Cathay Bank Employee Stock Ownership Plan . (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 777 North Broadway, Los Angeles, CA 90012 (c) CITIZENSHIP: Los Angeles, California (d) TITLE OF CLASS OF SECURITIES: Common Stock, $.01 par value, of Issuer (the "Common Stock"), registered under Section 12 of the Securities Exchange Act of 1934, as amended. (e) CUSIP NUMBER: 149 150 104 Item 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS: Employee Benefit Plan, which is subject to the provision of the Employee Retirement Security Act of 1974. Item 4. OWNERSHIP: (a) Amount Beneficially Owned: 530,800 (b) Percent of Class: 5.98% (c) Number of shares as to which such person has shared power to vote or to direct the vote: 530,800 Item 5. OWNERSHIP OF FIVE PER CENT OR LESS OF A CLASS: Not applicable Page 3 of 4 pages 4 Item 6. OWNERSHIP OF MORE THAT FIVE PER CENT ON BEHALF OF ANOTHER PERSON: The holdings reported herein are for the benefit of participants in the Cathay Bank Employee Ownership Plan. Item 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not applicable Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not applicable Item 9. NOTICE OF DISSOLUTION OF A GROUP: Not applicable Item 10. CERTIFICATION: By signing below we certify that, to the best of our knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction have such purposes or effect. SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Dated: February 10, 1997 CATHAY BANK EMPLOYEE STOCK OWNERSHIP PLAN By: Dunson Cheng _______________________________ Dunson Cheng, Trustee By: George T.M. Ching -------------------------------- George T.M. Ching, Trustee Page 4 of 4 pages -----END PRIVACY-ENHANCED MESSAGE-----