0001437749-16-043532.txt : 20161219 0001437749-16-043532.hdr.sgml : 20161219 20161219190537 ACCESSION NUMBER: 0001437749-16-043532 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161215 FILED AS OF DATE: 20161219 DATE AS OF CHANGE: 20161219 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: 162060004 4 1 rdgdoc.xml FORM 4_DUNSON CHENG X0306 4 2016-12-15 0000861842 CATHAY GENERAL BANCORP CATY 0001185628 CHENG DUNSON K 777 NORTH BROADWAY LOS ANGELES CA 90012 1 1 Executive Chairman Common Stock 243907 D Common Stock 445577 I Husband & Wife Trust Common Stock 182452 I Nonmarital Share Trust Common Stock 102904 I B ESOP Restricted Stock Units 2016-12-15 4 A 0 11635 A Common Stock 11635 11635 D Restricted Stock Units 2016-12-15 4 A 0 6057 A Common Stock 6057 6057 D Restricted Stock Units 2016-12-15 4 A 0 5817 A Common Stock 5817 5817 D Each restricted stock unit represented a 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, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. /s/ Dunson Cheng 2016-12-19