0001437749-18-003872.txt : 20180305 0001437749-18-003872.hdr.sgml : 20180305 20180305121521 ACCESSION NUMBER: 0001437749-18-003872 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180301 FILED AS OF DATE: 20180305 DATE AS OF CHANGE: 20180305 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: 18665004 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 4 1 rdgdoc.xml DUNSON CHENG X0306 4 2018-03-01 0000861842 CATHAY GENERAL BANCORP CATY 0001185628 CHENG DUNSON K 777 NORTH BROADWAY LOS ANGELES CA 90012 1 1 Executive Chairman Common Stock 2018-03-01 4 M 0 27868 0 A 124992 D Common Stock 2018-03-01 4 F 0 13818 41.22 D 111174 D Common Stock 445577 I Husband & Wife Trust Common Stock 182452 I Nonmarital Share Trust Common Stock 102904 I By ESOP Restricted Stock Units 2018-03-01 4 A 0 6038 0 A Common Stock 6038 6038 D Restricted Stock Units 2018-03-01 4 M 0 23465 0 D Common Stock 23465 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, 2014. 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 24, 2014. Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Each restricted stock unit represented a contingent right to receive one share of Common Stock upon vesting, subject to adjustment in accordance with the award agreement and the Cathay General Bancorp 2005 Incentive Plan, as amended and restated. These restricted stock units are scheduled to vest in 3 annual equal installments beginning March 1, 2019, or earlier in the event of death, disability, retirement, or change in control. Of the previously reported target award of 23,465 shares of restricted stock unit, 110.641% of the target award was earned based upon the achievement of certain performance criteria. Performance-based restricted stock units vested on December 31, 2017. /s/ Georgia Lo, attorney-in-fact 2018-03-05