Statement of Changes in Beneficial Ownership (4)
March 05 2018 - 12:16PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
CHENG DUNSON K
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2. Issuer Name
and
Ticker or Trading Symbol
CATHAY GENERAL BANCORP
[
CATY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive Chairman
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(Last)
(First)
(Middle)
777 NORTH BROADWAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2018
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(Street)
LOS ANGELES, CA 90012
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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3/1/2018
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M
(1)
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27868
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A
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$0
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124992
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D
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Common Stock
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3/1/2018
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F
(2)
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13818
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D
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$41.22
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111174
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D
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Common Stock
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445577
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I
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Husband & Wife Trust
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Common Stock
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182452
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I
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Nonmarital Share Trust
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Common Stock
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102904
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I
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By ESOP
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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(3)
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3/1/2018
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A
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6038
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(4)
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(4)
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Common Stock
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6038
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$0
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6038
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D
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Restricted Stock Units
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(1)
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3/1/2018
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M
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23465
(5)
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(6)
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(6)
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Common Stock
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23465
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$0
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$0
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D
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Explanation of Responses:
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(1)
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Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2014. Such restricted stock units were previously reported in Table II on a Form 4 filed by the Reporting Person with the Securities and Exchange Commission on December 24, 2014.
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(2)
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Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units.
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(3)
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Each restricted stock unit represented a contingent right to receive one share of Common Stock upon vesting, subject to adjustment in accordance with the award agreement and the Cathay General Bancorp 2005 Incentive Plan, as amended and restated.
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(4)
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These restricted stock units are scheduled to vest in 3 annual equal installments beginning March 1, 2019, or earlier in the event of death, disability, retirement, or change in control.
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(5)
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Of the previously reported target award of 23,465 shares of restricted stock unit, 110.641% of the target award was earned based upon the achievement of certain performance criteria.
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(6)
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Performance-based restricted stock units vested on December 31, 2017.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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CHENG DUNSON K
777 NORTH BROADWAY
LOS ANGELES, CA 90012
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X
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Executive Chairman
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Signatures
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/s/ Georgia Lo, attorney-in-fact
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3/5/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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