0001437749-20-007159.txt : 20200403 0001437749-20-007159.hdr.sgml : 20200403 20200403173305 ACCESSION NUMBER: 0001437749-20-007159 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200401 FILED AS OF DATE: 20200403 DATE AS OF CHANGE: 20200403 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CHEN HENG W CENTRAL INDEX KEY: 0001207193 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31830 FILM NUMBER: 20774949 MAIL ADDRESS: STREET 1: C/O CATHAY BANCORP, INC. STREET 2: 777 NORTH BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 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 HENG CHEN X0306 4 2020-04-01 0000861842 CATHAY GENERAL BANCORP CATY 0001207193 CHEN HENG W 777 NORTH BROADWAY LOS ANGELES CA 90012 1 EVP/CFO Common Stock 2020-04-01 4 M 0 5651 0 A 117338 D Common Stock 2020-04-01 4 M 0 10938 0 A 128276 D Common Stock 2020-04-01 4 M 0 5469 0 A 133745 D Common Stock 2020-04-01 4 F 0 7630 21.68 D 126115 D Restricted Stock Units 2020-04-01 4 M 0 3461 0 D Common Stock 0 0 D Restricted Stock Units 2020-04-01 4 M 0 6648 0 D Common Stock 0 0 D Restricted Stock Units 2020-04-01 4 M 0 3324 0 D Common Stock 0 0 D Of the previously reported target award of 3,461 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria. Of the previously reported target award of 6,648 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. Of the previously reported target award of 3,324 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 15, 2016. 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 19, 2016. Performance-based restricted stock units vested on December 31, 2019. /s/ Georgia Lo, attorney-in-fact 2020-04-03