SEC Form 4 · accession 0001437749-16-027859
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heng W Chen
Officer — EVP/CFO
Period of report
Mar 14, 2016
Accepted (ET)
Mar 16, 2016 · 7:28 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,F3 | Mar 14, 2016 | M | 861 | $0.00 | A | 61,817 | 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 UnitsF2,F4 | $0.00 | Mar 14, 2016 | M | 861 | D | — | — | Common Stock | 861 | 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
- F3Includes 65.13 shares acquired through dividend reinvestment year-to-date
- F4The reporting person previously reported the award of 861 shares of restricted stock units on Form 4 filed March 17, 2014. All of these restricted stock units vested on March 14, 2016.