Filing Details

Accession Number:
0001262063-13-000085
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-03-26 16:13:13
Reporting Period:
2013-03-22
Filing Date:
2013-03-26
Accepted Time:
2013-03-26 16:13:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
861842 Cathay General Bancorp CATY State Commercial Banks (6022) 954274680
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1301191 R Kim Bingham
777 North Broadway
Los Angeles CA 90012
Evp - Chief Credit Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-03-22 3,762 $0.00 6,983 No 4 M Direct
Common Stock Disposition 2013-03-25 1,516 $20.18 5,467 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2013-03-22 3,762 $0.00 3,762 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
89,930 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option $38.38 2005-11-18 2014-11-18 10,000 10,000 Direct
Common Stock Stock Option $37.00 2006-02-17 2015-02-17 10,000 20,000 Direct
Common Stock Stock Option $36.24 2007-01-25 2016-01-25 34,930 54,930 Direct
Common Stock Stock Option $23.37 2009-02-21 2018-02-21 35,000 89,930 Direct
Common Stock Restricted Stock Units $0.00 4,744 94,674 Direct
Common Stock Restricted Stock Units $0.00 3,451 98,125 Direct
Common Stock Restricted Stock Units $0.00 5,540 103,665 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-11-18 10,000 10,000 Direct
2015-02-17 10,000 20,000 Direct
2016-01-25 34,930 54,930 Direct
2018-02-21 35,000 89,930 Direct
4,744 94,674 Direct
3,451 98,125 Direct
5,540 103,665 Direct
Footnotes
  1. Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II.
  2. These sales were effected to satisfy the reporting person's tax withholding obligations with respect to the vesting of the restricted stock units.
  3. The option is fully exercisable.
  4. Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.
  5. The reporting person previously reported the award of 3,762 shares of restricted stock units on Form 4 filed March 25, 2011. All of these restricted stock units vested on March 22, 2013.
  6. 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.
  7. 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.
  8. 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.
  9. 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.