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CATY Cathay General Bancorp

42.125
1.57 (3.86%)
Last Updated: 18:08:52
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
  1.57 3.86% 42.125 42.10 42.15 42.18 40.70 41.01 108,383 18:08:52

- Statement of Changes in Beneficial Ownership (4)

21/12/2012 8:11pm

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 *

CHENG DUNSON K
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)
Chairman, President, & CEO
(Last)          (First)          (Middle)

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

12/20/2012
(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                  19540   D  
 
Common Stock                  62660   D  
 
Common Stock                  102224   I   By ESOP  
Common Stock                  445577   I   Husband & Wife Trust  
Common Stock                  182452   I   Nonmarital Shares Trust  

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   $19.925                    1/16/2004   (1) 1/16/2013   Common Stock   153060     153060   D  
 
Stock Option   $24.80                    11/20/2004   (1) 11/20/2013   Common Stock   246940     400000   D  
 
Stock Option   $37.00                    2/17/2006   (1) 2/17/2015   Common Stock   154940     554940   D  
 
Stock Option   $32.47                    3/22/2005   (1) 3/22/2015   Common Stock   245060     800000   D  
 
Stock Option   $33.54                    11/20/2005   (1) 5/12/2015   Common Stock   264694     1064694   D  
 
Stock Option   $36.24                    1/25/2007   (1) 1/25/2016   Common Stock   154940     1219634   D  
 
Stock Option   $23.37                    2/21/2009   (2) 2/21/2018   Common Stock   154970     1374604   D  
 
Stock Option   $23.37                    2/21/2009   (1) 2/21/2018   Common Stock   100000     1474604   D  
 
Restricted Stock Units     (3)                    (4)   (4) Common Stock   12384     1486988   D  
 
Restricted Stock Units     (3)                    (5)   (5) Common Stock   21913     1508901   D  
 
Restricted Stock Units     (3)                    (6)   (6) Common Stock   11862     1520763   D  
 
Restricted Stock Units     (3) 12/20/2012     A      30481         (7)   (7) Common Stock   30481   $0   1551244   D  
 

Explanation of Responses:
( 1)  The option is fully exercisable.
( 2)  The option vests in 5 equal annual installments beginning 2/21/09.
( 3)  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.
( 4)  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.
( 5)  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.
( 6)  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.
( 7)  These restricted stock units are scheduled to vest in a single installment on December 20, 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
CHENG DUNSON K
777 NORTH BROADWAY
LOS ANGELES, CA 90012
X
Chairman, President, & CEO

Signatures
Monica Chen, attorney-in-fact 12/21/2012
** 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.

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