0001437749-19-000231.txt : 20190103 0001437749-19-000231.hdr.sgml : 20190103 20190103173435 ACCESSION NUMBER: 0001437749-19-000231 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190102 FILED AS OF DATE: 20190103 DATE AS OF CHANGE: 20190103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kim Lisa L. CENTRAL INDEX KEY: 0001738532 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31830 FILM NUMBER: 19507232 MAIL ADDRESS: STREET 1: CATHAY GENERAL BANCORP STREET 2: 9650 FLAIR DRIVE CITY: EL MONTE STATE: CA ZIP: 91731 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 LISA KIM X0306 4 2019-01-02 0000861842 CATHAY GENERAL BANCORP CATY 0001738532 Kim Lisa L. 777 NORTH BROADWAY LOS ANGELES CA 90012 1 EVP, General Counsel Common Stock 2019-01-02 4 M 0 3413 0 A 4218 D Common Stock 2019-01-02 4 F 0 1396 33.53 D 2822 D Restricted Stock Units 2019-01-02 4 M 0 3951 0 D Common Stock 3951 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 17, 2015. Such restricted stock units were previously reported in Table II on a Form 3 filed by the Reporting Person with the Securities and Exchange Commission on April 26, 2018. Of the previously reported target award of 3,951 shares of performance-based restricted stock units, 80% of the target award was earned based upon the achievement of certain performance criteria. Performance-based restricted stock units vested on December 31, 2018. Shares withheld by the Registrant to satisfy tax withholding requirements on vesting of restricted stock units, based on closing price on December 31, 2018. /s/ Georgia Lo, attorney-in-fact 2019-01-03