Filing Details

Accession Number:
0001262063-13-000327
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-10-30 12:04:13
Reporting Period:
2013-10-29
Filing Date:
2013-10-30
Accepted Time:
2013-10-30 12:04:13
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
1185635 Irwin Wong 777 North Broadway
Los Angeles CA 90012
Evp - Chief Risk 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 2013-10-29 73,712 $24.80 93,596 No 4 M Direct
Common Stock Disposition 2013-10-29 73,712 $25.26 19,884 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 Stock Option Disposition 2013-10-29 73,712 $0.00 73,712 $24.80
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
58,468 2004-11-20 2013-11-20 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 16,768 Indirect By ESOP
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option $37.00 2006-02-17 2015-02-17 32,580 91,048 Direct
Common Stock Stock Option $36.24 2007-01-25 2016-01-25 31,000 122,048 Direct
Common Stock Stock Option $23.37 2009-02-21 2018-02-21 20,000 142,048 Direct
Common Stock Restricted Stock Units $0.00 4,774 146,822 Direct
Common Stock Restricted Stock Units $0.00 3,810 150,632 Direct
Common Stock Restricted Stock Units $0.00 6,001 156,633 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2015-02-17 32,580 91,048 Direct
2016-01-25 31,000 122,048 Direct
2018-02-21 20,000 142,048 Direct
4,774 146,822 Direct
3,810 150,632 Direct
6,001 156,633 Direct
Footnotes
  1. Includes 7.997 shares acquired through dividend reinvestment year-to-date.
  2. Represents the weighted average sales price per share. The shares were sold at prices ranging from $25.15 to $25.61 per share. Full information regarding the number of shares sold at each separate price will be provided, upon request, to the staff of the U.S. Securities and Exchange Commission, the Issuer, or any security holder of the Issuer.
  3. The option is fully exercisable.
  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 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.