0001262063-13-000372.txt : 20131217 0001262063-13-000372.hdr.sgml : 20131217 20131217191229 ACCESSION NUMBER: 0001262063-13-000372 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131213 FILED AS OF DATE: 20131217 DATE AS OF CHANGE: 20131217 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: WU PETER CENTRAL INDEX KEY: 0001186026 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31830 FILM NUMBER: 131283514 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-12-13 0000861842 CATHAY GENERAL BANCORP CATY 0001186026 WU PETER 777 NORTH BROADWAY LOS ANGELES CA 90012 1 1 0 0 Executive Vice Chairman/COO Common Stock 2013-12-13 4 M 0 9116 0 A 31217 D Common Stock 2013-12-17 4 S 0 3381 25.54 D 27836 D Common Stock 864299 I By PACJU, LLC Restricted Stock Units 0 2013-12-13 4 M 0 9116 0 D Common Stock 9116 0 D Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II. These sales were effected to satisfy the reporting person's tax withholding obligations with respect to the vesting of the restricted stock units. The reporting person is a co-trustee, together with his spouse, of the Wu Trust (the "Trust"), which has transferred the shares of CATY Common Stock previously held by the Trust to PACJU, LLC ("PACJU"), a Delaware limited liability company of which the Trust will serve as Manager and hold a 51.5% interest, with the reporting person and his spouse each holding a .5% ownership interest in PACJU in their own names. The balance of the interests in PACJU will be held by the reporting person's adult children, none of whom shares a household with the reporting person. The reporting person disclaims beneficial ownership of CATY Stock held by PACJU except to the extent of his pecuniary interest therein. Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. The reporting person previously reported the award of 9,116 shares of restricted stock units on Form 4 filed December 16, 2011. All of these restricted stock units vested on December 13, 2013. Monica Chen, Attorney-in-fact 2013-12-17