ADVFN Logo ADVFN

We could not find any results for:
Make sure your spelling is correct or try broadening your search.

Trending Now

Toplists

It looks like you aren't logged in.
Click the button below to log in and view your recent history.

Hot Features

Registration Strip Icon for default Register for Free to get streaming real-time quotes, interactive charts, live options flow, and more.

CATY Cathay General Bancorp

42.42
1.86 (4.59%)
Last Updated: 19:42:47
Delayed by 15 minutes
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
  1.86 4.59% 42.42 42.41 42.45 42.45 40.70 41.01 175,510 19:42:47

Statement of Changes in Beneficial Ownership (4)

02/11/2012 6:32pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

CHEN HENG W
2. Issuer Name and Ticker or Trading Symbol

CATHAY GENERAL BANCORP [ CATY ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
EVP/CFO
(Last)          (First)          (Middle)

777 NORTH BROADWAY
3. Date of Earliest Transaction (MM/DD/YYYY)

10/31/2012
(Street)

LOS ANGELES, CA 90012
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
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
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)
Code V Amount (A) or (D) Price
Common Stock   10/31/2012     A    345   (1) A $0   3618   D  
 
Common Stock                  29844   D  
 

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
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 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 Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option   $24.80                    11/20/2007   (2) 11/20/2013   Common Stock   19896     19896   D  
 
Stock Option   $37.00                    2/17/2006   (2) 2/17/2015   Common Stock   40100     59996   D  
 
Stock Option   $36.24                    1/25/2007   (2) 1/25/2016   Common Stock   45000     104996   D  
 
Stock Option   $23.37                    2/21/2009   (3) 2/21/2018   Common Stock   44000     148996   D  
 
Restricted Stock Units     (4)                    (5)   (5) Common Stock   4830     153826   D  
 
Restricted Stock Units     (4)                    (6)   (6) Common Stock   6057     159883   D  
 
Restricted Stock Units     (4)                    (7)   (7) Common Stock   4819     164702   D  
 

Explanation of Responses:
( 1)  Shares of Cathay General Banorp (the "Company") common stock acquired under the Company's 2005 Incentive Plan. As a condition to receiving these shares, the reporting person agreed to hold and not transfer, for the entire period during which the Company has any obligations outstanding under the U.S. Treasury's Troubled Asset Relief Program (disregarding any warrants to purchase common stock of the Company that the U.S. Treasury may hold) (the "Restriction Period"), all of the shares received. This transfer restriction will terminate upon the earlier of the end of the Restriction Period or the date of the reporting person's death or permanent disability.
( 2)  The option is fully exercisable.
( 3)  The option vests in 5 equal annual installments beginning 2/21/09.
( 4)  Consists of long term restricted stock units within the meaning of the Emergency Economic Stabilization Act of 2008, as amended from time to time, and the rules and regulations promulgated thereunder ("EESA"). Each unit represents a contingent right to receive one share of CATY Common Stock.
( 5)  These restricted stock units are scheduled to vest in a single installment on March 23, 2013, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.
( 6)  These restricted stock units are scheduled to vest in a single installment on December 15, 2013, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.
( 7)  These restricted stock units are scheduled to vest in a single installment on May 8, 2014, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
CHEN HENG W
777 NORTH BROADWAY
LOS ANGELES, CA 90012


EVP/CFO

Signatures
Monica Chen, attorney-in-fact 11/2/2012
** 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 Year Cathay General Bancorp Chart

1 Month Cathay General Bancorp Chart

1 Month Cathay General Bancorp Chart

Your Recent History

Delayed Upgrade Clock