0001262063-13-000320.txt : 20131028 0001262063-13-000320.hdr.sgml : 20131028 20131028194210 ACCESSION NUMBER: 0001262063-13-000320 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131028 FILED AS OF DATE: 20131028 DATE AS OF CHANGE: 20131028 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: 131174358 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 2013-10-28 0000861842 CATHAY GENERAL BANCORP CATY 0001577235 Tai Pin CATHAY GENERAL BANCORP 9650 FLAIR DRIVE EL MONTE CA 91731 0 1 0 0 EVP, CLO, Cathay Bank Common Stock 2013-10-28 4 M 0 16180 24.80 A 21534 D Common Stock 2013-10-28 4 S 0 16180 25.70 D 5354 D Stock Option 24.80 2013-10-28 4 M 0 16180 0 D 2004-11-20 2013-11-20 Common Stock 16180 0 D Stock Option 28.695 2005-02-19 2014-02-19 Common Stock 8000 8000 D Stock Option 37.00 2006-02-17 2015-02-17 Common Stock 14710 22710 D Stock Option 36.90 2007-01-19 2016-01-19 Common Stock 13750 36460 D Stock Option 23.37 2009-02-21 2018-02-21 Common Stock 25000 61460 D Restricted Stock Units Common Stock 4938 66398 D Restricted Stock Units Common Stock 3084 69482 D Restricted Stock Units Common Stock 3981 73463 D Restricted Stock Units Common Stockd 3973 77436 D Restricted Stock Units Common Stock 1454 78890 D 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. These restricted stock units are scheduled to vest in a single installment on May 17, 2015, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA. /s/ Pin Tai 2013-10-28