SEC Form 4 · accession 0001437749-18-005808
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dunson K Cheng
Officer — Executive Chairman · Director
Period of report
Mar 27, 2018
Accepted (ET)
Mar 29, 2018 · 1:14 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 | Mar 27, 2018 | M | 1,298 | $0.00 | A | 112,472 | D | |
| Common Stock | Mar 27, 2018 | F | 644 | $39.51 | D | 111,828 | D | |
| Common Stock | holding | — | — | — | 445,577 | I | Husband & Wife Trust | |
| Common Stock | holding | — | — | — | 182,452 | I | Nonmarital Share Trust | |
| Common Stock | holding | — | — | — | 102,904 | 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 UnitsF2,F3 | — | Mar 27, 2018 | M | 1,298 | D | Mar 27, 2018 | — | Common Stock | 1,298 | 2,595 | D |
Explanation of responses
- F1Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.
- F2Each restricted stock unit represents a contingent right to receive one share of Common Stock upon vesting.
- F3Reporting Person was granted 3,893 restricted stock units on March 27, 2017, with a vesting schedule of 3 annual equal installments beginning March 27, 2018, or earlier in the event of death, disability, retirement, or change in control.