0001262063-13-000356.txt : 20131127 0001262063-13-000356.hdr.sgml : 20131127 20131127180025 ACCESSION NUMBER: 0001262063-13-000356 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131126 FILED AS OF DATE: 20131127 DATE AS OF CHANGE: 20131127 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: 131248758 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-11-26 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 2013-11-26 4 S 0 10000 26.8132 D 197957 D Common Stock 2013-11-27 4 S 0 10000 27.4685 D 187957 D Common Stock 102485 I By ESOP Common Stock 445577 I Husband & Wife Trust Common Stock 182452 I Nonmarital Shares Trust Stock Option 37.00 2006-02-17 2015-02-17 Common Stock 154940 154940 D Stock Option 32.47 2005-03-22 2015-03-22 Common Stock 245060 400000 D Stock Option 33.54 2005-11-20 2015-05-12 Common Stock 264694 664694 D Stock Option 36.24 2007-01-25 2016-01-25 Common Stock 154940 819634 D Stock Option 23.37 2009-02-21 2018-02-21 Common Stock 154970 974604 D Stock Option 23.37 2009-02-21 2018-02-21 Common Stock 100000 1074604 D Restricted Stock Units Common Stock 21913 1096517 D Restricted Stock Units Common Stock 11862 1108379 D Restricted Stock Units Common Stock 30481 1138860 D Represents the weighted average sales price per share. The shares were sold at prices ranging from $26.75 to $26.85 per shares. Full information regarding the number of shares sold at each separate price will be provided, uon 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 $27.4310 to $27.50 per shares. Full information regarding the number of shares sold at each separate price will be provided, uon 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 2013-11-27