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Filing Details

Accession Number:: 0001262063-13-000083
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-03-26 16:11:52
Reporting Period:: 2013-03-22

Filing Date:: 2013-03-26
Accepted Time:: 2013-03-26 16:11:52
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
861842	Cathay General Bancorp	CATY	State Commercial Banks (6022)	954274680

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1186026	Peter Wu	777 North Broadway Los Angeles CA 90012	Executive Vice Chairman/Coo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2013-03-22	6,192	$0.00	17,532	No	4	M	Direct
Common Stock	Disposition	2013-03-25	2,308	$20.18	15,224	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Units	Disposition	2013-03-22	6,192	$0.00	6,192	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
316,570			No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	874,299	Indirect	By PACJU, LLC

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Option	$28.70	2005-02-19	2014-02-19	100,000	100,000	Direct
Common Stock	Stock Option	$37.00	2006-02-17	2015-02-17	72,170	172,170	Direct
Common Stock	Stock Option	$36.24	2007-01-25	2016-01-25	72,170	244,340	Direct
Common Stock	Stock Option	$23.37	2009-02-21	2018-02-21	72,230	316,570	Direct
Common Stock	Restricted Stock Units	$0.00			9,116	325,686	Direct
Common Stock	Restricted Stock Units	$0.00			5,379	331,065	Direct
Common Stock	Restricted Stock Units	$0.00			13,716	344,781	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2014-02-19	100,000	100,000	Direct
2015-02-17	72,170	172,170	Direct
2016-01-25	72,170	244,340	Direct
2018-02-21	72,230	316,570	Direct
	9,116	325,686	Direct
	5,379	331,065	Direct
	13,716	344,781	Direct

Footnotes

Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II.
These sales were effected to satisfy the reporting person's tax withholding obligations with respect to the vesting of the restricted stock units.
The reporting person is a co-trustee, together with his spouse, of the Wu Trust (the "Trust"), which has transferred the shares of CATY Common Stock previously held by the Trust to PACJU, LLC ("PACJU"), a Delaware limited liability company of which the Trust will serve as Manager and hold a 51.5% interest, with the reporting person and his spouse each holding a .5% ownership interest in PACJU in their own names. The balance of the interests in PACJU will be held by the reporting person's adult children, none of whom shares a household with the reporting person. The reporting person disclaims beneficial ownership of CATY Stock held by PACJU except to the extent of his pecuniary interest therein.
The option is fully exercisable.
Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.
The reporting person previously reported the award of 6,192 shares of restricted stock units on Form 4 filed March 25, 2011. All of these restricted stock units vested on March 22, 2013.
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.
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.
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.
These restricted stock units are scheduled to vest in a single installment on December 20, 2014, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.