SEC Form 4 · accession 0001437749-15-015019
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony M Tang
Officer — Vice Chairman · Director
Period of report
Aug 5, 2015
Accepted (ET)
Aug 6, 2015 · 1:02 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 Stock | Aug 5, 2015 | M | 44,000 | $23.37 | A | 424,558 | D | |
| Common Stock | Aug 5, 2015 | S | 44,000 | $32.8616 | D | 380,558 | D | |
| Common StockF1 | holding | — | — | — | 270,101 | I | By spouse | |
| Common Stock | holding | — | — | — | 629,688 | I | YFO Investments, spouse is the beneficiary | |
| Common Stock | holding | — | — | — | 90,406 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $23.37 | Aug 5, 2015 | M | 44,000 | D | Feb 21, 2009 | Feb 21, 2018 | Common Stock | 44,000 | 0 | D |
Explanation of responses
- F1Includes 2,352.13 shares acquired through dividend reinvestment year-to-date
- F2The option is fully exercisable.