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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Cathay General Bancorp | NASDAQ:CATY | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
1.49 | 3.67% | 42.05 | 42.00 | 42.07 | 42.19 | 40.70 | 41.01 | 114,733 | 18:29:45 |
FORM 5
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
[ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0362 Estimated average burden hours per response... 1.0 |
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1. Name and Address of Reporting Person * TANG ANTHONY M | 2. Issuer Name and Ticker or Trading Symbol CATHAY GENERAL BANCORP [CATY] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__ X __ Officer (give title below) _____ Other (specify below) Senior EVP |
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership
(Instr. 4) |
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Amount | (A) or (D) | Price | ||||||||
Common Stock | 4981 | D |
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Common Stock | 350584 | D |
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Common Stock | 12/31/2012 | J (1) | 226 | A | $16.77 | 88997 | I | By ESOP | ||
Common Stock | 3/12/2012 | J (2) | 168 | A | $15.6529 | 1722225.25 | I | By spouse | ||
Common Stock | 6/12/2012 | J (2) | 172.041 | A | $15.295 | 1722225.25 | I | By spouse | ||
Common Stock | 9/14/2012 | J (2) | 165.003 | A | $15.9578 | 1722225.25 | I | By spouse | ||
Common Stock | 12/13/2012 | J (2) | 155.634 | A | $16.929 | 1722225.25 | I | By spouse |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4) |
11. Nature of Indirect Beneficial Ownership
(Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||||
Stock Option | $19.925 | 1/16/2004 (3) | 1/16/2013 | Common Stock | 47500 | 47500 | D |
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Stock Option | $24.80 | 11/20/2004 (3) | 11/20/2013 | Common Stock | 105140 | 152640 | D |
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Stock Option | $37.00 | 2/17/2006 (3) | 2/17/2015 | Common Stock | 39820 | 192460 | D |
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Stock Option | $36.24 | 1/25/2007 (3) | 1/25/2016 | Common Stock | 42690 | 235150 | D |
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Stock Option | $23.37 | 2/21/2009 (4) | 2/21/2018 | Common Stock | 44000 | 279150 | D |
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Restricted Stock Units | (6) | (6) | Common Stock | 4846 | 283996 | D |
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Restricted Stock Units | (7) | (7) | Common Stock | 6047 | 290043 | D |
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Restricted Stock Units | (8) | (8) | Common Stock | 4819 | 294862 | D |
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Restricted Stock Units | (9) | (9) | Common Stock | 7964 | 302826 | D |
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Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
TANG ANTHONY M
777 NORTH BROADWAY LOS ANGELES, CA 90012 |
X |
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Senior EVP |
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Signatures
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Anthony M. Tang | 2/11/2013 | |
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Cathay General Bancorp Chart |
1 Month Cathay General Bancorp Chart |
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