SEC Form 4 · accession 0001437749-19-000231
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa L. Kim
Officer — EVP, General Counsel
Period of report
Jan 2, 2019
Accepted (ET)
Jan 3, 2019 · 5:34 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 Stock | Jan 2, 2019 | M | 3,413 | $0.00 | A | 4,218 | D | |
| Common StockF4 | Jan 2, 2019 | F | 1,396 | $33.53 | D | 2,822 | 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 UnitsF2,F1,F3 | — | Jan 2, 2019 | M | 3,951 | D | — | — | Common Stock | 3,951 | 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 17, 2015. Such restricted stock units were previously reported in Table II on a Form 3 filed by the Reporting Person with the Securities and Exchange Commission on April 26, 2018.
- F2Of the previously reported target award of 3,951 shares of performance-based restricted stock units, 80% of the target award was earned based upon the achievement of certain performance criteria.
- F3Performance-based restricted stock units vested on December 31, 2018.
- F4Shares withheld by the Registrant to satisfy tax withholding requirements on vesting of restricted stock units, based on closing price on December 31, 2018.