SEC Form 4 · accession 0001437749-18-000198
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald Sang Chow
Officer — EVP
Period of report
Jan 2, 2018
Accepted (ET)
Jan 3, 2018 · 6:57 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 | Jan 2, 2018 | M | 9,921 | $0.00 | A | 25,969 | D | |
| Common Stock | Jan 2, 2018 | F | 3,902 | $42.64 | D | 22,067 | 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 UnitsF3,F1,F4 | — | Jan 2, 2018 | M | 6,173 | D | — | — | Common Stock | 6,173 | 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, 2014. 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 24, 2014.
- F2Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units.
- F3Of this previously reported target award of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
- F4Performance-based restricted stock units vested on December 31, 2017.