SEC Form 4 · accession 0001437749-16-042361
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dunson K Cheng
Officer — Executive Chairman · Director
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 6:39 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 15, 2016 | M | 5,000 | $23.37 | A | 248,907 | D | |
| Common Stock | Nov 15, 2016 | S | 5,000 | $35.2631 | D | 243,907 | D | |
| Common Stock | Nov 16, 2016 | M | 7,500 | $23.37 | A | 251,407 | D | |
| Common Stock | Nov 16, 2016 | S | 7,500 | $35.0053 | D | 243,907 | D | |
| Common Stock | holding | — | — | — | 445,577 | I | Husband & Wife Trust | |
| Common Stock | holding | — | — | — | 182,452 | I | Nonmarital Share Trust | |
| Common Stock | holding | — | — | — | 102,904 | 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 15, 2016 | M | 5,000 | D | Feb 21, 2009 | Feb 21, 2018 | Common Stock | 5,000 | 249,970 | D |
| Stock OptionF1 | $23.37 | Nov 16, 2016 | M | 7,500 | D | Feb 21, 2009 | Feb 21, 2018 | Common Stock | 7,500 | 242,470 | D |
Explanation of responses
- F1The option is fully exercisable.