Statement of Changes in Beneficial Ownership (4)
March 31 2020 - 5:03PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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 |
2. Issuer Name and Ticker or Trading Symbol
CATHAY GENERAL BANCORP
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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 |
(Last)
(First)
(Middle)
777 NORTH BROADWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/27/2020 |
(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 | | | | | | | | 435577 | I | Husband & Wife Trust |
Common Stock | | | | | | | | 182452 | I | Nonmarital Share Trust |
Common Stock | | | | | | | | 102898 | I | By ESOP |
Common Stock | 3/27/2020 | | M(2) | | 1297 | A | $0 | 47953 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 3/27/2020 | | M | | | 1297 | 3/27/2020 | (2) | Common Stock | 1297 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. |
(2) | On March 27, 2017, the Issuer awarded 3,893 restricted stock units to Reporting Person. The restricted stock units vest in three annual installments. The first installment of 1,298 restricted stock units vested on March 27, 2018, the second installment of 1,298 restricted stock units vested on March 27, 2019, and the last installment of 1,297 restricted stock units vested on March 27, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CHENG DUNSON K 777 NORTH BROADWAY LOS ANGELES, CA 90012 | X |
| Executive Chairman |
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Signatures
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/s/ Georgia Lo, attorney-in-fact | | 3/31/2020 |
**Signature of Reporting Person | Date |
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