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