0001437749-20-004373.txt : 20200304 0001437749-20-004373.hdr.sgml : 20200304 20200304201442 ACCESSION NUMBER: 0001437749-20-004373 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: Tai Pin CENTRAL INDEX KEY: 0001577235 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31830 FILM NUMBER: 20689212 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 2020-03-02 0000861842 CATHAY GENERAL BANCORP CATY 0001577235 Tai Pin 777 NORTH BROADWAY LOS ANGELES CA 90012 1 1 CEO Common Stock 912 I By ESOP Common Stock 2020-03-02 4 M 0 1673 0 A 53396 D Common Stock 2020-03-02 4 M 0 2718 0 A 56114 D Restricted Stock Units 2020-03-02 4 M 0 1673 0 D 2020-03-02 Common Stock 1673 1673 D Restricted Stock Units 2020-03-02 4 M 0 2718 0 D 2020-03-02 Common Stock 2718 5436 D 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 5,021 restricted stock units to Reporting Person. The restricted stock units vest in three annual installments. The first installment of 1,675 restricted stock units vested on March 1, 2019, the second installment of 1,673 restricted stock units vested on March 2, 2020, and the last installment of 1,673 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 8,154 restricted stock units to Reporting Person. The restricted stock units vest in three annual installments. The first installment of 2,718 restricted stock units vested on March 2, 2020, and, subject to continued employment, the second installment of 2,718 restricted stock units will vest on March 1, 2021, and the last installment of 2,718 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