SEC Form 4 · accession 0001437749-17-005541
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pin Tai
Officer — CEO & President
Period of report
Mar 27, 2017
Accepted (ET)
Mar 29, 2017 · 6:57 pm EDT
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 | holding | — | — | — | 19,262 | D | ||
| Common StockF1 | holding | — | — | — | 849 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Mar 27, 2017 | A | 3,893 | A | — | — | Common Stock | 3,893 | 3,893 | D |
Explanation of responses
- F1Includes 4.53 shares acquired through dividend reinvestment year-to-date
- F2Each restricted stock unit represents a contingent right to receive one share of Common Stock upon vesting, subject to adjustment in accordance with the award agreement and the Cathay General Bancorp 2005 Incentive Plan, as amended and restated.
- F3These restricted stock units are scheduled to vest in 3 annual equal installments beginning March 27, 2018, or earlier in the event of death, disability, retirement, or change in control.