0001437749-19-004113.txt : 20190305 0001437749-19-004113.hdr.sgml : 20190305 20190305183535 ACCESSION NUMBER: 0001437749-19-004113 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: Tai Pin CENTRAL INDEX KEY: 0001577235 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31830 FILM NUMBER: 19660434 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 PIN TAI X0306 4 2019-03-01 0000861842 CATHAY GENERAL BANCORP CATY 0001577235 Tai Pin 777 NORTH BROADWAY LOS ANGELES CA 90012 1 CEO & President Common Stock 885.75 I By ESOP Common Stock 2019-03-01 4 M 0 12758 0 A 53742 D Common Stock 2019-03-01 4 F 0 4412 38.36 D 49330 D Common Stock 2019-03-01 4 M 0 1675 0 A 51005 D Common Stock 2019-03-01 4 F 0 580 38.36 D 50425 D Restricted Stock Units 2019-03-01 4 M 0 7918 0 D Common Stock 7918 0 D Restricted Stock Units 2019-03-01 4 M 0 1675 0 D 2019-03-01 Common Stock 1675 3349 D Restricted Stock Units 2019-03-01 4 A 0 8154 0 A Common Stock 8154 8154 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. Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Of the previously reported target award of 7,918 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. Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. Reporting Person was granted 5,024 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