0001262063-13-000299.txt : 20131016 0001262063-13-000299.hdr.sgml : 20131016 20131016150420 ACCESSION NUMBER: 0001262063-13-000299 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131011 FILED AS OF DATE: 20131016 DATE AS OF CHANGE: 20131016 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: 131154088 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-10-11 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 2013-10-11 4 A 0 636 0 A 51987 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 2013-10-16