Filing Details

Accession Number:
0001262063-13-000340
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-13 15:02:34
Reporting Period:
2013-11-11
Filing Date:
2013-11-13
Accepted Time:
2013-11-13 15:02:34
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
1207193 W Heng Chen 777 North Broadway
Los Angeles CA 90012
Evp/Cfo 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 2013-11-11 9,896 $24.80 54,573 No 4 M Direct
Common Stock Disposition 2013-11-11 9,896 $25.25 44,677 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 2013-11-11 9,896 $0.00 9,896 $24.80
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2007-11-20 2013-11-20 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 $37.00 2006-02-17 2015-02-17 40,100 40,100 Direct
Common Stock Stock Option $36.24 2007-01-25 2016-01-25 45,000 85,100 Direct
Common Stock Stock Option $23.37 2009-02-21 2018-02-21 44,000 129,100 Direct
Common Stock Restricted Stock Units $0.00 6,057 135,157 Direct
Common Stock Restricted Stock Units $0.00 4,819 139,976 Direct
Common Stock Ristricted Stock Units $0.00 7,988 147,964 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2015-02-17 40,100 40,100 Direct
2016-01-25 45,000 85,100 Direct
2018-02-21 44,000 129,100 Direct
6,057 135,157 Direct
4,819 139,976 Direct
7,988 147,964 Direct
Footnotes
  1. The option is fully exercisable.
  2. 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.
  3. 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.
  4. 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.
  5. 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.