SEC Form 4 · accession 0001437749-18-000571
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nelson Chung
Director
Period of report
Jan 10, 2018
Accepted (ET)
Jan 12, 2018 · 1:10 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 10, 2018 | M | 3,500 | $23.37 | A | 3,500 | D | |
| Common Stock | holding | — | — | — | 10,000 | I | Defined Benefit Plan | |
| Common Stock | holding | — | — | — | 10,000 | I | Pension Plan | |
| Common StockF1 | holding | — | — | — | 6,185 | I | Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $23.37 | Jan 10, 2018 | M | 3,500 | D | Feb 21, 2009 | Feb 21, 2018 | Common Stock | 3,500 | 0 | D |
Explanation of responses
- F16,185 shares were transferred from direct ownership to Family Trust as indirect ownership on 6/12/17.
- F2The option is fully exercisable.