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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 | |
---|---|---|---|---|---|---|---|---|---|---|
1.68 | 4.14% | 42.239 | 42.19 | 42.24 | 42.30 | 40.70 | 41.01 | 158,568 | 19:15:50 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
CHAN KELLY L |
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 _____ Officer (give title below) _____ Other (specify below) |
777 NORTH BROADWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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LOS ANGELES, CA 90012 |
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) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/28/2012 | G | V | 200 | D | $0 | 90480 | D |
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Common Stock | 9800 | I | By spouse | |||||||
Common Stock | 58288 | I | Living Trust | |||||||
Common Stock | 12/28/2012 | G | V | 100 | A | $0 | 13140 | I | As custodian for son | |
Common Stock | 27096 | I | Partner - Chansons Properties | |||||||
Common Stock | 200000 | I | Trustee - WHFC Trust |
Table II - Derivative Securities 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 |
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 | 3800 | 5800 | D |
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Stock Option | $24.80 | 11/20/2004 (1) | 11/20/2013 | Common Stock | 11000 | 16800 | D |
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Stock Option | $37.00 | 2/17/2006 (1) | 2/17/2015 | Common Stock | 3500 | 20300 | D |
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Stock Option | $36.24 | 1/25/2007 (1) | 1/25/2016 | Common Stock | 3500 | 23800 | D |
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Stock Option | $23.37 | 2/21/2009 (2) | 2/21/2018 | Common Stock | 3500 | 27300 | D |
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Explanation of Responses: | |
( 1) | The option is fully exercisable. |
( 2) | The option vests in 5 equal annual installments beginning 2/21/09. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
CHAN KELLY L
777 NORTH BROADWAY LOS ANGELES, CA 90012 |
X |
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Signatures
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Kelly L. Chan | 1/3/2013 | |
** Signature of Reporting Person |
Date
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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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