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CATY Cathay General Bancorp

40.56
0.00 (0.00%)
Pre Market
Last Updated: 12:18:33
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
  0.00 0.00% 40.56 40.62 42.10 1 12:18:33

Statement of Changes in Beneficial Ownership (4)

29/03/2019 10:18pm

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)
Executive Chairman
(Last)          (First)          (Middle)

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

3/27/2019
(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                  435577   I   Husband & Wife Trust  
Common Stock                  182452   I   Nonmarital Share Trust  
Common Stock                  102904   I   By ESOP  
Common Stock   3/27/2019     M    1298   A $0   61628   D    
Common Stock   3/27/2019     F (1)    644   D $33.67   60984   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
Restricted Stock Units     (2) 3/27/2019     M         1298    3/27/2019     (3) Common Stock   1298   $0   1297   D    

Explanation of Responses:
(1)  Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.
(2)  Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.
(3)  On March 27, 2017, the Issuer awarded 3,893 restricted stock units to the Reporting Person. The restricted stock units vest in three annual installments. The first installment of 1,298 restricted stock units vested on March 27, 2018, the second installment of 1,298 restricted stock units vested on March 27, 2019, and the last installment of 1,297 restricted stock units will vest on March 27, 2020, or earlier in the event of death, disability, retirement or change in control.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
CHENG DUNSON K
777 NORTH BROADWAY
LOS ANGELES, CA 90012
X
Executive Chairman

Signatures
/s/ Georgia Lo, attorney-in-fact 3/29/2019
** 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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