SEC Form 4 · accession 0001437749-16-043532

CATHAY GENERAL BANCORP · CATY

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

Reporting owner

Officer — Executive Chairman · Director

Period of report

Dec 15, 2016

Accepted (ET)

Dec 19, 2016 · 7:05 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000861842

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock	holding	—	—	—	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	B ESOP

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1,F2	—	Dec 15, 2016	A	11,635	A	—	—	Common Stock	11,635	11,635	D
Restricted Stock Units^F1,F2	—	Dec 15, 2016	A	6,057	A	—	—	Common Stock	6,057	6,057	D
Restricted Stock Units^F1,F2	—	Dec 15, 2016	A	5,817	A	—	—	Common Stock	5,817	5,817	D

F1Each restricted stock unit represented a contingent right to receive one share of Common Stock upon vesting. The number of restricted stock units that are earned can be reduced by up to 100% of the target award or increased by up to 150% of the target award, depending upon the achievement of certain performance criteria.
F2These restricted stock units are scheduled to vest in a single installment on December 31, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.