0001262063-13-000258.txt : 20130904 0001262063-13-000258.hdr.sgml : 20130904 20130904132717 ACCESSION NUMBER: 0001262063-13-000258 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130830 FILED AS OF DATE: 20130904 DATE AS OF CHANGE: 20130904 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: WU PETER CENTRAL INDEX KEY: 0001186026 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18630 FILM NUMBER: 131077430 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-08-30 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 2013-08-30 4 A 0 458 0 A 20963 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 2013-09-04