SEC Form 4/A · accession 0001437749-18-001542
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ting Y Liu
Director
Period of report
Jan 22, 2018
Accepted (ET)
Feb 2, 2018 · 12:57 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 StockF2 | Jan 22, 2018 | M | 3,500 | $23.37 | A | 20,449 | D | |
| Common Stock | holding | — | — | — | 353,664 | 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 OptionF1 | $23.37 | Jan 22, 2018 | M | 3,500 | D | Feb 21, 2009 | Feb 21, 2018 | Common Stock | 3,500 | 0 | D |
Explanation of responses
- F1The option is fully exercisable.
- F2The purpose of this amendment to the Form 4 filed by the Reporting Person on January 23, 2018 is to disclose the purchase price for the shares of the Issuer's common stock acquired by the Reporting Person as a result of the Reporting Person's exercise of stock options on January 22, 2018. Although the exercise price (which is equal to the purchase price) was disclosed in the original filing, the purchase price was inadvertently omitted. Price of the shares acquired should be $23.37.