0001437749-16-042688.txt : 20161128 0001437749-16-042688.hdr.sgml : 20161128 20161128190432 ACCESSION NUMBER: 0001437749-16-042688 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161123 FILED AS OF DATE: 20161128 DATE AS OF CHANGE: 20161128 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: 001-31830 FILM NUMBER: 162021017 4 1 rdgdoc.xml FORM 4 X0306 4 2016-11-23 0000861842 CATHAY GENERAL BANCORP CATY 0001185628 CHENG DUNSON K 777 NORTH BROADWAY LOS ANGELES CA 90012 1 1 Executive Chairman Common Stock 2016-11-23 4 M 0 50000 23.37 A 293907 D Common Stock 2016-11-23 4 S 0 50000 35.872 D 243907 D Common Stock 2016-11-25 4 M 0 24970 23.37 A 268877 D Common Stock 2016-11-25 4 S 0 24970 36.2093 D 243907 D Common Stock 2016-11-28 4 M 0 20000 23.37 A 263907 D Common Stock 2016-11-28 4 S 0 20000 35.8236 D 243907 D Common Stock 445577 I Husband & Wife Trust Common Stock 182452 I Nonmarital Share Trust Common Stock 102904 I By ESOP Stock Option 23.37 2016-11-23 4 M 0 50000 0 D 2009-02-21 2018-02-21 Common Stock 50000 124970 D Stock Option 23.37 2016-11-25 4 M 0 24970 0 D 2009-02-21 2018-02-21 Common Stock 24970 100000 D Stock Option 23.37 2016-11-28 4 M 0 20000 0 D 2009-02-21 2018-02-21 Common Stock 20000 80000 D The option is fully exercisable. /s/ Monica Chen, attorney-in-fact 2016-11-28