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Filing Details

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
1185628	K Dunson Cheng	777 North Broadway Los Angeles CA 90012	Chairman, President, & Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2013-11-14	11,000	$24.80	118,957	No	4	M	Direct
Common Stock	Disposition	2013-11-14	11,000	$25.32	107,957	No	4	S	Direct
Common Stock	Acquisiton	2013-11-15	8,000	$24.80	115,957	No	4	M	Direct
Common Stock	Disposition	2013-11-15	8,000	$25.31	107,957	No	4	S	Direct

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

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option	Disposition	2013-11-14	11,000	$0.00	11,000	$24.80
Common Stock	Stock Option	Disposition	2013-11-15	8,000	$0.00	8,000	$24.80

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
235,940	2004-11-20	2013-11-20	No	4	M	Direct
227,940	2004-11-20	2013-11-20	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	102,485	Indirect	By ESOP
Common Stock	445,577	Indirect	Husband & Wife Trust
Common Stock	182,452	Indirect	Nonmarital Shares Trust

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Option	$37.00	2006-02-17	2015-02-17	154,940	382,880	Direct
Common Stock	Stock Option	$32.47	2005-03-22	2015-03-22	245,060	627,940	Direct
Common Stock	Stock Option	$33.54	2005-11-20	2015-05-12	264,694	892,634	Direct
Common Stock	Stock Option	$36.24	2007-01-25	2016-01-25	154,940	1,047,574	Direct
Common Stock	Stock Option	$23.37	2009-02-21	2018-02-21	154,970	1,202,544	Direct
Common Stock	Stock Option	$23.37	2009-02-21	2018-02-21	100,000	1,302,544	Direct
Common Stock	Restricted Stock Units	$0.00			21,913	1,324,457	Direct
Common Stock	Restricted Stock Units	$0.00			11,862	1,336,319	Direct
Common Stock	Restricted Stock Units	$0.00			30,481	1,366,800	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2015-02-17	154,940	382,880	Direct
2015-03-22	245,060	627,940	Direct
2015-05-12	264,694	892,634	Direct
2016-01-25	154,940	1,047,574	Direct
2018-02-21	154,970	1,202,544	Direct
2018-02-21	100,000	1,302,544	Direct
	21,913	1,324,457	Direct
	11,862	1,336,319	Direct
	30,481	1,366,800	Direct

Footnotes

The option is fully exercisable.
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.