SEC Form 4/A · accession 0001437749-16-038276
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Peter Wu
Officer — Vice Chairman · Director
Period of report
Aug 30, 2016
Accepted (ET)
Sep 1, 2016 · 1:40 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 StockF1 | Aug 30, 2016 | S | 30,000 | $31.3014 | D | 822,799 | I | PACJU LLC |
| Common StockF2 | holding | — | — | — | 12,976 | D | ||
| Common StockF2 | holding | — | — | — | 30,194 | I | Wu Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1a 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.
- F21,782 shares were transferred to Wu Family Trust as indirect ownership on 4/27/16.