SEC Form 4/A · accession 0001437749-18-003523
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
Irwin Wong
Officer — SEVP, Chief Operating Officer
Period of report
Feb 17, 2017
Accepted (ET)
Feb 28, 2018 · 3:55 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 StockF6 | Feb 17, 2017 | 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.
- F6The Reporting Person files this amendment to his Form 4 originally filed with the SEC on February 22, 2017 (the "Original Filing"), solely to correct the transaction date for the transaction reported on the first line of Table I, which was inadvertently disclosed in the Original Filing as occurring on 2/17/2002 rather than 2/17/2017.