0001437749-15-015020.txt : 20150806 0001437749-15-015020.hdr.sgml : 20150806 20150806130211 ACCESSION NUMBER: 0001437749-15-015020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150804 FILED AS OF DATE: 20150806 DATE AS OF CHANGE: 20150806 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: 151032145 4 1 rdgdoc.xml FORM 4 X0306 4 2015-08-04 0000861842 CATHAY GENERAL BANCORP CATY 0001186026 WU PETER 777 NORTH BROADWAY LOS ANGELES CA 90012 1 1 Vice Chairman Common Stock 2015-08-04 4 M 0 20000 23.37 A 32976 D Common Stock 2015-08-04 4 S 0 20000 32.578 D 12976 D Common Stock 2015-08-05 4 M 0 10000 23.37 A 22976 D Common Stock 2015-08-05 4 S 0 10000 32.6568 D 12976 D Common Stock 857799 I By PACJU LLC Common Stock 28412 I Wu Family Trust Stock Option 23.37 2015-08-04 4 M 0 20000 0 D 2009-02-21 2018-02-21 Common Stock 72230 52230 D Stock Option 23.37 2015-08-05 4 M 0 10000 0 D 2009-02-21 2018-02-21 Common Stock 52230 42230 D 1,634 shares were transferred from direct ownership to Family Trust as indirect ownership on 4/1/15. A Delaware limited liability company of which the Wu Family Trust serves 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 the extent of his pecuniary interest therein. The option is fully exercisable. /s/ Monica Chen, attorney-in-fact 2015-08-06