0001262063-13-000134.txt : 20130514
0001262063-13-000134.hdr.sgml : 20130514
20130514164517
ACCESSION NUMBER: 0001262063-13-000134
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130510
FILED AS OF DATE: 20130514
DATE AS OF CHANGE: 20130514
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WU PETER
CENTRAL INDEX KEY: 0001186026
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-18630
FILM NUMBER: 13842198
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
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2013-05-10
0000861842
CATHAY GENERAL BANCORP
CATY
0001186026
WU PETER
777 NORTH BROADWAY
LOS ANGELES
CA
90012
1
1
0
0
Executive Vice Chairman/COO
Common Stock
2013-05-10
4
A
0
503
0
A
17279
D
Common Stock
874299
I
By PACJU, LLC
Stock Option
28.695
2005-02-19
2014-02-19
Common Stock
100000
100000
D
Stock Option
37.00
2006-02-17
2015-02-17
Common Stock
72170
172170
D
Stock Option
36.24
2007-01-25
2016-01-25
Common Stock
72170
244340
D
Stock Option
23.37
2009-02-21
2018-02-21
Common Stock
72230
316570
D
Restricted Stock Units
Common Stock
9116
325686
D
Restricted Stock Units
Common Stock
5379
331065
D
Restricted Stock Units
Common Stock
13716
344781
D
Shares of Cathay General Banorp (the "Company") common stock acquired under the Company's 2005 Incentive Plan. As a condition to receiving these shares, the reporting person agreed to hold and not transfer, for the entire period during which the Company has any obligations outstandig under the U.S. Treasury's Troubled Asset Relief Program (disregarding any warrants to purchase common stock of the Company that the U.S. Treasury may hold) (the "Restriction Period"), all of the shares received. These transfer restrictions will terminate upon the earlier of the end of the Restriction Period or the date of the reporting person's death or permanent disability.
The reporting person is a co-trustee, together with his spouse, of the Wu Trust (the "Trust"), which has transferred the shares of CATY Common Stock previously held by the Trust to PACJU, LLC ("PACJU"), a Delaware limited liability company of which the Trust will serve as Manager and hold a 51.5% interest, with the reporting person and his spouse each holding a .5% ownership interest in PACJU in their own names. The balance of the interests in PACJU will be held by the reporting person's adult children, none of whom shares a household with the reporting person. The reporting person disclaims beneficial ownership of CATY Stock held by PACJU except to the extent of his pecuniary interest therein.
The option is fully exercisable.
Consists of long term restricted stock units within the meaning of the Emergency Economic Stabilization Act of 2008, as amended from time to time, and the rules and regulations promulgated thereunder ("EESA"). Each 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 December 15, 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 May 8, 2014, 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 20, 2014, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.
Monica Chen, Attorney-in-fact
2013-05-14