SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Kim Lisa L.

(Last)

(First)

(Middle)

777 NORTH BROADWAY

(Street)

LOS ANGELES

90012

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
04/19/2018

3. Issuer Name and Ticker or Trading Symbol
CATHAY GENERAL BANCORP [ CATY ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	EVP, General Counsel

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	1,555	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Restricted Stock Units	⁽²⁾	⁽²⁾	Common Stock	3,951⁽¹⁾	⁽¹⁾	D
Restricted Stock Units	⁽⁵⁾	⁽⁵⁾	Common Stock	453	⁽⁶⁾	D
Restricted Stock Units	⁽²⁾	⁽²⁾	Common Stock	3,706⁽¹⁾	⁽¹⁾	D
Restricted Stock Units	⁽³⁾	⁽³⁾	Common Stock	1,730⁽¹⁾	⁽¹⁾	D
Restricted Stock Units	⁽³⁾	⁽³⁾	Common Stock	3,324⁽¹⁾	⁽¹⁾	D
Restricted Stock Units	⁽³⁾	⁽³⁾	Common Stock	1,662⁽¹⁾	⁽¹⁾	D
Restricted Stock Units	⁽⁴⁾	⁽⁴⁾	Common Stock	1,699⁽¹⁾	⁽¹⁾	D
Restricted Stock Units	⁽⁴⁾	⁽⁴⁾	Common Stock	1,614⁽¹⁾	⁽¹⁾	D
Restricted Stock Units	⁽⁴⁾	⁽⁴⁾	Common Stock	3,198⁽¹⁾	⁽¹⁾	D

Explanation of Responses:

1. Each restricted stock unit represents a contingent right to receive one share of Common Stock uppn 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.

2. These restricted stock units are scheduled to vest in a single installment on December 31, 2018, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2017 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

3. 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.

4. These restricted stock units are scheduled to vest in a single installment on December 31, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

5. On March 9, 2018, the Issuer granted 453 restricted stock units to the Reporting Person that vested in full on the date of the grant, and shares of common stock will distribute to the Reporting Person on the first anniversary of the date of the grant, or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer.

6. Each restricted stock unit represents a contingent right to receive one share of Common Stock of the Issuer.

Remarks:

Power of Attorney Attached.

	/s/ Georgia Lo, attorney-in-fact	04/26/2018
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.