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