0001262063-13-000308.txt : 20131025 0001262063-13-000308.hdr.sgml : 20131025 20131025175239 ACCESSION NUMBER: 0001262063-13-000308 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131025 FILED AS OF DATE: 20131025 DATE AS OF CHANGE: 20131025 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: WONG IRWIN CENTRAL INDEX KEY: 0001185635 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18630 FILM NUMBER: 131171646 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-10-25 0000861842 CATHAY GENERAL BANCORP CATY 0001185635 WONG IRWIN 777 NORTH BROADWAY LOS ANGELES CA 90012 0 1 0 0 EVP - Chief Risk Officer Common Stock 2013-10-25 4 M 0 5000 24.80 A 24883.66 D Common Stock 2013-10-25 4 S 0 5000 25.45 D 19883.66 D Common Stock 16768 I By ESOP Stock Option 24.80 2013-10-25 4 M 0 5000 0 D 2004-11-20 2013-11-20 Common Stock 138040 138040 D Stock Option 37.00 2006-02-17 2015-02-17 Common Stock 32580 170620 D Stock Option 36.24 2007-01-25 2016-01-25 Common Stock 31000 201620 D Stock Option 23.37 2009-02-21 2018-02-21 Common Stock 20000 221620 D Restricted Stock Units Common Stock 4774 226394 D Restricted Stock Units Common Stock 3810 230204 D Restricted Stock Units Common Stock 6001 236205 D Includes 7.997 shares acquired through dividend reinvestment year-to-date. 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 2013-10-25