UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option | 11/20/2004(1) | 11/20/2013 | Common Stock | 16,180 | $ 24.8 | D | Â |
Stock Option | 02/19/2005(1) | 02/19/2014 | Common Stock | 8,000 | $ 28.695 | D | Â |
Stock Option | 02/17/2006(1) | 02/17/2015 | Common Stock | 14,710 | $ 37 | D | Â |
Stock Option | 01/19/2007(1) | 01/19/2016 | Common Stock | 13,750 | $ 36.9 | D | Â |
Stock Option | 02/21/2009(1) | 02/21/2018 | Common Stock | 25,000 | $ 23.37 | D | Â |
Restricted Stock Units | Â (2) | Â (2) | Common Stock | 4,938 | $ (3) | D | Â |
Restricted Stock Units | Â (4) | Â (4) | Common Stock | 3,084 | $ (3) | D | Â |
Restricted Stock Units | Â (5) | Â (5) | Common Stock | 3,981 | $ (3) | D | Â |
Restricted Stock Units | Â (6) | Â (6) | Common Stock | 3,973 | $ (3) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Tai Pin CATHAY GENERAL BANCORP 9650 FLAIR DRIVE EL MONTE, CA 91731 |
 |  |  EVP, Deputy CLO, Cathay Bank |  |
Monica Chen, attorney-in-fact | 05/21/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The option is fully exercisable. |
(2) | These restricted stock units are scheduled to vest in a single installment on December 15, 2013, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA. |
(3) | Consists of long term restricted stock units within the meaning of the Emergency Economic Stabilization Act of 2008, as amended from time to time, and the rules and regulations promulgated thereunder ("EESA"). Each unit represents a contingent right to receive one share of CATY Common Stock. |
(4) | These restricted stock units are scheduled to vest in a single installment on May 8, 2014, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA. |
(5) | These restricted stock units are scheduled to vest in a single installment on March 14, 2015, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA. |
(6) | These restricted stock units are scheduled to vest in a single installment on April 15, 2015, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA. |