SEC Form 4 · accession 0001437749-18-004541
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heng W Chen
Officer — EVP/CFO
Period of report
Mar 9, 2018
Accepted (ET)
Mar 13, 2018 · 6:13 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 | — | — | — | 99,018 | 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 UnitsF1,F2 | — | Mar 9, 2018 | A | 964 | A | — | — | Common Stock | 964 | 964 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Common Stock upon vesting.
- F2On March 9, 2018, the Issuer granted to the Reporting Person 964 restricted stock units that will vest, in full, on March 9, 2019, or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer.