0001437749-19-004111.txt : 20190305 0001437749-19-004111.hdr.sgml : 20190305 20190305183312 ACCESSION NUMBER: 0001437749-19-004111 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190301 FILED AS OF DATE: 20190305 DATE AS OF CHANGE: 20190305 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: 19660415 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 2019-03-01 0000861842 CATHAY GENERAL BANCORP CATY 0001185628 CHENG DUNSON K 777 NORTH BROADWAY LOS ANGELES CA 90012 1 1 Executive Chairman Common Stock 435577 I Husband & Wife Trust Common Stock 182452 I Nonmarital Share Trust Common Stock 102904 I By ESOP Common Stock 2019-03-01 4 M 0 30392 0 A 72753 D Common Stock 2019-03-01 4 F 0 13437 38.36 D 59316 D Common Stock 2019-03-01 4 M 0 2013 0 A 61329 D Common Stock 2019-03-01 4 F 0 999 38.36 D 60330 D Restricted Stock Units 2019-03-01 4 M 0 18862 0 D Common Stock 18862 0 D Restricted Stock Units 2019-03-01 4 M 0 2013 0 D 2019-03-01 Common Stock 2013 4025 D Restricted Stock Units 2019-03-01 4 A 0 10664 0 A Common Stock 10664 10664 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 4 filed by the Reporting Person with the Securities and Exchange Commission on December 21, 2015. Of the previously reported target award of 18,862 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, 2018. Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. Reporting Person was granted 6,038 restricted stock units on March 1, 2018, with a vesting schedule of 3 annual equal installments beginning March 1, 2019, or earlier in the event of death, disability, retirement, or change in control. These restricted stock units are scheduled to vest in 3 annual equal installments beginning March 1, 2020, or earlier in the event of death, disability, retirement, or change in control. /s/ Georgia Lo, attorney-in-fact 2019-03-05