SEC Form 4 · accession 0001437749-16-042688

CATHAY GENERAL BANCORP · CATY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive Chairman · Director

Period of report

Nov 23, 2016

Accepted (ET)

Nov 28, 2016 · 7:04 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 23, 2016	M	50,000	$23.37	A	293,907	D
Common Stock	Nov 23, 2016	S	50,000	$35.872	D	243,907	D
Common Stock	Nov 25, 2016	M	24,970	$23.37	A	268,877	D
Common Stock	Nov 25, 2016	S	24,970	$36.2093	D	243,907	D
Common Stock	Nov 28, 2016	M	20,000	$23.37	A	263,907	D
Common Stock	Nov 28, 2016	S	20,000	$35.8236	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

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option^F1	$23.37	Nov 23, 2016	M	50,000	D	Feb 21, 2009	Feb 21, 2018	Common Stock	50,000	124,970	D
Stock Option^F1	$23.37	Nov 25, 2016	M	24,970	D	Feb 21, 2009	Feb 21, 2018	Common Stock	24,970	100,000	D
Stock Option^F1	$23.37	Nov 28, 2016	M	20,000	D	Feb 21, 2009	Feb 21, 2018	Common Stock	20,000	80,000	D