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