0001437749-20-004369.txt : 20200304 0001437749-20-004369.hdr.sgml : 20200304 20200304195332 ACCESSION NUMBER: 0001437749-20-004369 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200302 FILED AS OF DATE: 20200304 DATE AS OF CHANGE: 20200304 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: 20689169 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 2020-03-02 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 102898 I By ESOP Common Stock 2020-03-02 4 M 0 2013 0 A 45028 D Common Stock 2020-03-02 4 F 0 697 32.13 D 44331 D Common Stock 2020-03-02 4 M 0 3555 0 A 47886 D Common Stock 2020-03-02 4 F 0 1230 32.13 D 46656 D Restricted Stock Units 2020-03-02 4 M 0 2013 0 D 2020-03-02 Common Stock 2013 2012 D Restricted Stock Units 2020-03-02 4 M 0 3555 0 D 2020-03-02 Common Stock 3555 7109 D 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. On March 1, 2018, the Issuer awarded 6,038 restricted stock units to Reporting Person. The restricted stock units vest in three annual installments. The first installment of 2,013 restricted stock units vested on March 1, 2019, the second installment of 2,013 restricted stock units vested on March 2, 2020, and the last installment of 2,012 restricted stock units will vest on March 1, 2021, or earlier in the event of death, disability, retirement, or change in control. On March 1, 2019, the Issuer awarded 10,664 restricted stock units to Reporting Person. The restricted stock units vest in three annual installments. The first installment of 3,555 restricted stock units vested on March 2, 2020, the second installment of 3,555 restricted stock units will vest on March 1, 2021, and the last installment of 3,554 restricted stock units will vest on March 1, 2022, or earlier in the event of death, disability, retirement, or change in control. /s/ Georgia Lo, attorney-in-fact 2020-03-04