Statement of Changes in Beneficial Ownership (4)
December 26 2018 - 5:11AM
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
hours per response...
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
*
CHAN KELLY L
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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
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
777 NORTH BROADWAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/20/2018
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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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10557
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I
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By spouse
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Common Stock
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69579
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I
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Kelly & Barbara Chan Living Trust
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Common Stock
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30596
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I
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Partner - Chansons Properties
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Common Stock
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12/21/2018
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J
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200000
(2)
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D
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$0
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0
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I
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Trustee - WHFC Grandchildren's Sprinkling Trust
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Common Stock
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12/20/2018
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J
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19578
(1)
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A
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$0
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33368
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I
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Trustee - Daryl Michael Chan Living Trust
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Common Stock
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86830
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D
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Common Stock
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12/21/2018
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J
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25000
(3)
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A
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$0
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58368
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I
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Trustee - Daryl Michael Chan Living Trust
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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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Explanation of Responses:
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(1)
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On December 20, 2018, the Daryl Michael Chan Living Trust received a distribution of 19,578 shares of common stock of Cathay General Bancorp, without the payment of any consideration, from another trust as a beneficiary of that trust.
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(2)
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On December 21, 2018, 200,000 shares of common stock of Cathay General Bancorp were distributed by the WHFC Granchildren's Sprinkling Trust, for no consideration, to its beneficiaries and the trust was terminated.
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(3)
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On December 21, 2018, the Daryl Michael Chan Living Trust received a distribution of 25,000 shares of common stock of Cathay General Bancorp, without the payment of any consideration, from the WHFC Grandchildren's Sprinkling Trust as a beneficiary of that trust.
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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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CHAN KELLY L
777 NORTH BROADWAY
LOS ANGELES, CA 90012
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X
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Signatures
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/s/ Georgia Lo, attorney-in-fact
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12/26/2018
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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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