0001262063-13-000342.txt : 20131118
0001262063-13-000342.hdr.sgml : 20131118
20131118164301
ACCESSION NUMBER: 0001262063-13-000342
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131114
FILED AS OF DATE: 20131118
DATE AS OF CHANGE: 20131118
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: 131227470
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2013-11-14
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
2013-11-14
4
M
0
11000
24.80
A
118957
D
Common Stock
2013-11-14
4
S
0
11000
25.3167
D
107957
D
Common Stock
2013-11-15
4
M
0
8000
24.80
A
115957
D
Common Stock
2013-11-15
4
S
0
8000
25.3142
D
107957
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
2013-11-14
4
M
0
11000
0
D
2004-11-20
2013-11-20
Common Stock
11000
235940
D
Stock Option
24.80
2013-11-15
4
M
0
8000
0
D
2004-11-20
2013-11-20
Common Stock
8000
227940
D
Stock Option
37.00
2006-02-17
2015-02-17
Common Stock
154940
382880
D
Stock Option
32.47
2005-03-22
2015-03-22
Common Stock
245060
627940
D
Stock Option
33.54
2005-11-20
2015-05-12
Common Stock
264694
892634
D
Stock Option
36.24
2007-01-25
2016-01-25
Common Stock
154940
1047574
D
Stock Option
23.37
2009-02-21
2018-02-21
Common Stock
154970
1202544
D
Stock Option
23.37
2009-02-21
2018-02-21
Common Stock
100000
1302544
D
Restricted Stock Units
Common Stock
21913
1324457
D
Restricted Stock Units
Common Stock
11862
1336319
D
Restricted Stock Units
Common Stock
30481
1366800
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 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
2013-11-18