SEC Form 4 · accession 0001437749-15-021298
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
Nov 18, 2015
Accepted (ET)
Nov 20, 2015 · 6:09 pm EST
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 | Nov 18, 2015 | M | 25,000 | $23.37 | A | 26,807 | D | |
| Common Stock | Nov 18, 2015 | S | 25,000 | $34.00 | D | 1,807 | D | |
| Common Stock | holding | — | — | — | 801 | 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 OptionF1 | $23.37 | Nov 18, 2015 | M | 25,000 | D | Feb 21, 2009 | Feb 21, 2018 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1The option is fully exercisable.