0001262063-14-000008.txt : 20140210 0001262063-14-000008.hdr.sgml : 20140210 20140210144733 ACCESSION NUMBER: 0001262063-14-000008 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131218 FILED AS OF DATE: 20140210 DATE AS OF CHANGE: 20140210 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: OEI PERRY CENTRAL INDEX KEY: 0001264236 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-31830 FILM NUMBER: 14588046 4/A 1 edgar.xml PRIMARY DOCUMENT X0306 4/A 2013-12-18 2013-12-20 0000861842 CATHAY GENERAL BANCORP CATY 0001264236 OEI PERRY 777 NORTH BROADWAY LOS ANGELES CA 90012 0 1 0 0 General Counsel Common Stock 4061 D Restricted Stock Units 2013-12-18 4 A 0 7619 0 A Common Stock 7619 7619 D Restricted Stock Units 2013-12-18 4 A 0 7858 0 A Common Stock 7858 7858 D Restricted Stock Units 2013-12-18 4 A 0 2438 0 A Common Stock 2438 2438 D Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting. The number of restricted stock units that are earned can be reduced by up to 100% of the target award or increased by up to 150% of the target award, depending upon the achievement of certain performance criteria. These restricted stock units are scheduled to vest in a single installment on December 31, 2016, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2015 or a change in control, with the number of units earned being based on the achievement of certain performance Criteria. 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 18, 2016, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA. Perry Oei 2014-02-10