0001262063-13-000344.txt : 20131120
0001262063-13-000344.hdr.sgml : 20131120
20131120173712
ACCESSION NUMBER: 0001262063-13-000344
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131118
FILED AS OF DATE: 20131120
DATE AS OF CHANGE: 20131120
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: 131233750
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2013-11-18
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
2013-11-18
4
M
0
25000
24.80
A
132957
D
Common Stock
2013-11-18
4
S
0
25000
25.4688
D
107957
D
Common Stock
2013-11-19
4
M
0
5400
24.80
A
113357
D
Common Stock
2013-11-19
4
S
0
5400
25.367
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
2013-11-18
4
M
0
25000
0
D
2004-11-20
2013-11-20
Common Stock
25000
202940
D
Stock Option
24.80
2013-11-19
4
M
0
5400
0
D
2004-11-20
2013-11-20
Common Stock
5400
197540
D
Stock Option
37.00
2006-02-17
2015-02-17
Common Stock
154940
352480
D
Stock Option
32.47
2005-03-22
2015-03-22
Common Stock
245060
597540
D
Stock Option
33.54
2005-11-20
2015-05-12
Common Stock
264694
862234
D
Stock Option
36.24
2007-01-25
2016-01-25
Common Stock
154940
1017174
D
Stock Option
23.37
2009-02-21
2018-02-21
Common Stock
154970
1172144
D
Stock Option
23.37
2009-02-21
2018-02-21
Common Stock
100000
1272144
D
Restricted Stock Units
Common Stock
21913
1294057
D
Restricted Stock Units
Common Stock
11862
1305919
D
Restricted Stock Units
Common Stock
30481
1336400
D
Represents the weighted average sales price per share. The shares were sold at prices ranging from $25.3000 to $25.7200 per shares. Full information regarding the number of shares sold at each separate price will be provided, upon request, to the staff of the U.S. Securities and Exchange Commission, the Issuer, or any security holder of the Issuer.
Represents the weighted average sales price per share. The shares were sold at prices ranging from $25.3000 to $25.4400 per shares. Full information regarding the number of shares sold at each separate price will be provided, upon request, to the staff of the U.S. Securities and Exchange Commission, the Issuer, or any security holder of the Issuer.
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 December 20, 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 May 8, 2014, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.
Monica Chen, attorney-in-fact
2013-11-20