0001262063-12-000002.txt : 20120214 0001262063-12-000002.hdr.sgml : 20120214 20120214173245 ACCESSION NUMBER: 0001262063-12-000002 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CHENG DUNSON K CENTRAL INDEX KEY: 0001185628 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18630 FILM NUMBER: 12613040 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATHAY GENERAL BANCORP CENTRAL INDEX KEY: 0000861842 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 954274680 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 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 FORMER COMPANY: FORMER CONFORMED NAME: CATHAY BANCORP INC DATE OF NAME CHANGE: 19930328 5 1 edgar.xml PRIMARY DOCUMENT X0304 5 2011-12-31 0 0 0000861842 CATHAY GENERAL BANCORP CATY 0001185628 CHENG DUNSON K 777 NORTH BROADWAY LOS ANGELES CA 90012 1 1 0 0 Chairman, President & CEO Common Stock 74160 D Common Stock 628029 I Husband & Wife Trust Common Stock 2011-12-31 5 J 0 289 13.68 A 102224 I By ESOP Stock Option 16.275 2003-02-21 2012-02-21 Common Stock 79320 79320 D Stock Option 19.925 2004-01-16 2013-01-16 Common Stock 153060 232380 D Stock Option 24.80 2004-11-20 2013-11-20 Common Stock 246940 479320 D Stock Option 37.00 2006-02-17 2015-02-17 Common Stock 154940 634260 D Stock Option 32.47 2005-03-22 2015-03-22 Common Stock 245060 879320 D Stock Option 33.54 2005-11-20 2015-05-12 Common Stock 264694 1144014 D Stock Option 36.24 2007-01-25 2016-01-25 Common Stock 154940 1298954 D Stock Option 23.37 2009-02-21 2018-02-21 Common Stock 154970 1453924 D Stock Option 23.37 2009-02-21 2018-02-21 Common Stock 100000 1553924 D Restricted Stock Units Common Stock 12384 1566308 D Restricted Stock Units Common Stock 21913 1588221 D ESOP earning allocation. The option is fully exercisable. The option vests in 5 equal annual installments beginning 2/21/09. Consists of long term restricted stock units within the meaning of the Emergency Economic Stabiliaztion Act of 2008, as amended from time to time, and the rules and regulations promulgated thereunder ('EESA"). Eash unit represents a contingent right to receive one share of CATY Common Stock. These restricted stock units are scheduled to vest in a single installment on March 23, 2013, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA. These restricted stock units are scheduled to vest in a single installment on December 15, 2013, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA. Dunson K. Cheng 2012-02-14