SEC Form 4 · accession 0001437749-15-007635
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pin Tai
Officer — President, Cathay Bank
Period of report
Apr 15, 2015
Accepted (ET)
Apr 17, 2015 · 6:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000861842
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Apr 15, 2015 | M | 3,973 | $0.00 | A | 6,394 | D | |
| Common Stock | Apr 15, 2015 | F | 1,494 | $28.85 | D | 4,900 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2,F4 | $0.00 | Apr 15, 2015 | M | 3,973 | D | — | — | Common Stock | 3,973 | 0 | D |
Explanation of responses
- F1Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II.
- F2Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.
- F3Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units.
- F4The reporting person previously reported the award of 3,973 shares of restricted stock units on Form 3 filed May 21, 2013. All of these restricted stock units vested on April 15, 2015.