0001437749-17-002983.txt : 20170222 0001437749-17-002983.hdr.sgml : 20170222 20170222161736 ACCESSION NUMBER: 0001437749-17-002983 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170217 FILED AS OF DATE: 20170222 DATE AS OF CHANGE: 20170222 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: 17628603 4 1 rdgdoc.xml FORM 4 X0306 4 2017-02-17 0000861842 CATHAY GENERAL BANCORP CATY 0001185628 CHENG DUNSON K 777 NORTH BROADWAY LOS ANGELES CA 90012 1 1 Executive Chairman Common Stock 2017-02-17 4 M 0 44040 0 A 264072 D Common Stock 2017-02-17 4 F 0 19312 39.42 D 244760 D Common Stock 2017-02-17 4 M 0 60233 0 A 304993 D Common Stock 2017-02-17 4 F 0 31430 39.42 D 273563 D Common Stock 445577 I Husband & Wife Trust Common Stock 182452 I Nonmarital Share Trust Common Stock 102904 I B ESOP Restricted Stock Unit 2017-02-17 4 M 0 39292 0 D Common Stock 39292 0 D Restricted Stock Unit 2017-02-17 4 M 0 38095 0 D Common Stock 38095 0 D Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. Such restricted stock units were previously reported in Table II on a Form 4 filed by the Reporting Person with the Securities and Exchange Commission on December 20, 2013. Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Of the previously reported target award of 39,292 shares of restricted stock unit, 106% of the target award was earned based upon the achievement of certain performance criteria. Of the previously reported target award of 38,095 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. Performance-based restricted stock units vested on December 31, 2016. /s/ Monica Chen, attorney-in-fact 2017-02-22