SEC Form 4 · accession 0001437749-17-002979
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Irwin Wong
Officer — SEVP, Chief Operating Officer
Period of report
Feb 17, 2017
Accepted (ET)
Feb 22, 2017 · 4:14 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 | Feb 17, 2002 | M | 11,010 | $0.00 | A | 40,805 | D | |
| Common Stock | Feb 17, 2017 | F | 4,247 | $39.42 | D | 36,558 | D | |
| Common Stock | Feb 17, 2017 | M | 15,057 | $0.00 | A | 51,615 | D | |
| Common Stock | Feb 17, 2017 | F | 5,761 | $39.42 | D | 45,854 | D | |
| Common Stock | holding | — | — | — | 17,819 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F5 | — | Feb 17, 2017 | M | 9,823 | D | — | — | Common Stock | 9,823 | 0 | D |
| Restricted Stock UnitsF4,F1,F5 | — | Feb 17, 2017 | M | 9,523 | D | — | — | Common Stock | 9,523 | 0 | D |
Explanation of responses
- F1Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. Such restricted stock units were previously reported in Table II on a Form 4 filed by the Reporting Person with the Securities and Exchange Commission on December 20, 2013.
- F2Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units.
- F3Of the previously reported target award of 9,823 shares of restricted stock unit, 106% of the target award was earned based upon the achievement of certain performance criteria.
- F4Of the previously reported target award of 9,523 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
- F5Performance-based restricted stock units vested on December 31, 2016.