Statement of Changes in Beneficial Ownership (4)
March 05 2021 - 5:28PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Liu Chang |
2. Issuer Name and Ticker or Trading Symbol
CATHAY GENERAL BANCORP
[
CATY
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
President & CEO |
|
(Last)
(First)
(Middle)
777 NORTH BROADWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/3/2021 |
|
(Street)
LOS ANGELES, CA 90012
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Common Stock | | | | | | | | 4233 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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) | 3/3/2021 | | A | | 3474 | | (2) | (2) | Common Stock | 3474 | $0 | 3474 | D | |
| Explanation of Responses: |
| (1) | Each restricted stock unit represents a contingent right to receive one share of Common Stock upon vesting. |
| (2) | On March 3, 2021, the Issuer granted the Reporting Person 3,474 restricted stock units (the "RSUs"), in lieu of a partial 2020 cash bonus, in accordance with the terms and conditions of the Issuer's incentive plan. The RSUs vested on the same day, and will be distributed on March 3, 2022, or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Liu Chang
777 NORTH BROADWAY
LOS ANGELES, CA 90012 | X |
| President & CEO |
|
Signatures
|
| /s/ Georgia Lo, attorney-in-fact | | 3/5/2021 |
| **Signature of Reporting Person | Date |
Cathay General Bancorp (NASDAQ:CATY)
Historical Stock Chart
From Jun 2024 to Jul 2024
Cathay General Bancorp (NASDAQ:CATY)
Historical Stock Chart
From Jul 2023 to Jul 2024
