SEC Form 5 · accession 0001437749-19-002517
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Wu
Officer — Vice Chairman · Director
Period of report
Dec 31, 2018
Accepted (ET)
Feb 13, 2019 · 8:16 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 StockF1 | holding | — | — | — | 9,619 | D | ||
| Common StockF2 | holding | — | — | — | 634,754 | I | PACJU, LLC | |
| Common StockF3 | holding | — | — | — | 162,552 | I | Wu Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On May 3, 2018 and July 27, 2018, 1,606 shares of common stock of Cathay General Bancorp and 3,357 shares of common stock of Cathay General Bancorp respectively were transferred to the Wu Family Trust as indirect ownership, without the payment of any consideration.
- F2On May 3, 2018, 100,000 shares of common stock of Cathay General Bancorp were transferred to the Wu Family Trust as indirect ownership, without the payment of any consideration.
- F3On May 3, 2018, the Wu Family Trust received 1,606 shares of common stock of Cathay General Bancorp from Peter Wu and 100,000 shares of common stock of Cathay General Bancorp from PACJU, LLC, without the payment of any consideration. Further, on July 27, 2018, the Wu Family Trust received 3,357 shares of common stock of Cathay General Bancorp from Peter Wu, without the payment of any consideration.