0001262063-13-000168.txt : 20130611
0001262063-13-000168.hdr.sgml : 20130611
20130611125046
ACCESSION NUMBER: 0001262063-13-000168
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130607
FILED AS OF DATE: 20130611
DATE AS OF CHANGE: 20130611
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CHENG DUNSON K
CENTRAL INDEX KEY: 0001185628
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-18630
FILM NUMBER: 13905641
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2013-06-07
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
2013-06-07
4
A
0
1256
0
A
42322
D
Common Stock
55970
D
Common Stock
102485
I
By ESOP
Common Stock
445577
I
Husband & Wife Trust
Common Stock
182452
I
Nonmarital Shares Trust
Stock Option
24.80
2004-11-20
2013-11-20
Common Stock
246940
246940
D
Stock Option
37.00
2006-02-17
2015-02-17
Common Stock
154940
401880
D
Stock Option
32.47
2005-03-22
2015-03-22
Common Stock
245060
646940
D
Stock Option
33.54
2005-11-20
2015-05-12
Common Stock
264694
911634
D
Stock Option
36.24
2007-01-25
2016-01-25
Common Stock
154940
1066574
D
Stock Option
23.37
2009-02-21
2018-02-21
Common Stock
154970
1221544
D
Stock Option
23.37
2009-02-21
2018-02-21
Common Stock
100000
1321544
D
Restricted Stock Units
Common Stock
21913
1343457
D
Restricted Stock Units
Common Stock
11862
1355319
D
Restricted Stock Units
Common Stock
30481
1385800
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 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
2013-06-11