SEC Form 4 · accession 0001437749-16-042277
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
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 6:27 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 14, 2016 | M | 12,000 | $23.37 | A | 73,940 | D | |
| Common Stock | Nov 14, 2016 | S | 12,000 | $35.1891 | D | 61,940 | D | |
| Common Stock | Nov 15, 2016 | M | 22,000 | $23.37 | A | 83,940 | D | |
| Common Stock | Nov 15, 2016 | S | 22,000 | $35.2352 | D | 61,940 | D | |
| Common Stock | Nov 16, 2016 | M | 10,000 | $23.37 | A | 71,940 | D | |
| Common StockF1 | Nov 16, 2016 | S | 10,000 | $35.0418 | D | 61,940 | D |
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 | Nov 14, 2016 | M | 12,000 | D | Feb 21, 2009 | Feb 21, 2018 | Common Stock | 12,000 | 32,000 | D |
| Stock OptionF2 | $23.37 | Nov 15, 2016 | M | 22,000 | D | Feb 21, 2009 | Feb 21, 2018 | Common Stock | 22,000 | 10,000 | D |
| Stock OptionF2 | $23.37 | Nov 16, 2016 | M | 10,000 | D | Feb 21, 2009 | Feb 21, 2018 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Includes 188.71 shares acquired through dividend reinvestment year-to-date
- F2The option is fully exercisable.