0001262063-13-000267.txt : 20130917 0001262063-13-000267.hdr.sgml : 20130917 20130917142121 ACCESSION NUMBER: 0001262063-13-000267 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130913 FILED AS OF DATE: 20130917 DATE AS OF CHANGE: 20130917 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: Tai Pin CENTRAL INDEX KEY: 0001577235 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18630 FILM NUMBER: 131100932 MAIL ADDRESS: STREET 1: CATHAY GENERAL BANCORP STREET 2: 9650 FLAIR DRIVE CITY: EL MONTE STATE: CA ZIP: 91731 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-09-13 0000861842 CATHAY GENERAL BANCORP CATY 0001577235 Tai Pin CATHAY GENERAL BANCORP 9650 FLAIR DRIVE EL MONTE CA 91731 0 1 0 0 EVP, Deputy CLO, Cathay Bank Common Stock 2013-09-13 4 A 0 385 0 A 3100 D Common Stock 1664 D Stock Option 24.80 2004-11-20 2013-11-20 Common Stock 16180 16180 D Stock Option 28.695 2005-02-19 2014-02-19 Common Stock 8000 24180 D Stock Option 37.00 2006-02-17 2015-02-17 Common Stock 14710 38890 D Stock Option 36.90 2007-01-19 2016-01-19 Common Stock 13750 52640 D Stock Option 23.37 2009-02-21 2018-02-21 Common Stock 25000 77640 D Restricted Stock Units Common Stock 4938 82578 D Restricted Stock Units Common Stock 3084 85662 D Restricted Stock Units Common Stock 3981 89643 D Restricted Stock Units Common Stockd 3973 93616 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 March 14, 2015, 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 April 15, 2015, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA. Monica Chen, attorney-in-fact 2013-09-17