SEC Form 4 · accession 0001437749-17-001481
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Wu
Officer — Vice Chairman · Director
Period of report
Jan 30, 2017
Accepted (ET)
Feb 1, 2017 · 6:45 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 StockF1 | Jan 30, 2017 | S | 10,000 | $36.2615 | D | 812,799 | I | By PACJU LLC |
| Common Stock | Jan 30, 2017 | S | 10,000 | $36.2804 | D | 802,799 | I | By PACJU LLC |
| Common Stock | Jan 31, 2017 | S | 10,000 | $36.2221 | D | 792,799 | I | By PACJU LLC |
| Common Stock | Feb 1, 2017 | S | 20,000 | $36.4167 | D | 772,799 | I | By PACJU LLC |
| Common Stock | holding | — | — | — | 12,976 | D | ||
| Common Stock | 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.