SEC Form 4 · accession 0001437749-15-015020

CATHAY GENERAL BANCORP · CATY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Vice Chairman · Director

Period of report

Aug 4, 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 4, 2015	M	20,000	$23.37	A	32,976	D
Common Stock	Aug 4, 2015	S	20,000	$32.578	D	12,976	D
Common Stock	Aug 5, 2015	M	10,000	$23.37	A	22,976	D
Common Stock^F1	Aug 5, 2015	S	10,000	$32.6568	D	12,976	D
Common Stock^F2	holding	—	—		—	857,799	I	By PACJU LLC
Common Stock^F1	holding	—	—		—	28,412	I	Wu Family Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option^F3	$23.37	Aug 4, 2015	M	20,000	D	Feb 21, 2009	Feb 21, 2018	Common Stock	72,230	52,230	D
Stock Option^F3	$23.37	Aug 5, 2015	M	10,000	D	Feb 21, 2009	Feb 21, 2018	Common Stock	52,230	42,230	D

F11,634 shares were transferred from direct ownership to Family Trust as indirect ownership on 4/1/15.
F2A Delaware limited liability company of which the Wu Family Trust serves as Manager and hold a 51.5% interest, with the reporting person and his spouse each holding a 5% ownership interest in PACJU in their own names. The balance of the interests in PACJU will be held by the reporting person's adult children, none of whom shares a household with the reporting person. The reporting person disclaims beneficial ownership of CATY Stock held by PACJU except the extent of his pecuniary interest therein.
F3The option is fully exercisable.