Filing Details
- Accession Number:
- 0001262063-13-000344
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-20 17:37:12
- Reporting Period:
- 2013-11-18
- Filing Date:
- 2013-11-20
- Accepted Time:
- 2013-11-20 17:37:12
- 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 |
|---|---|---|---|---|---|---|---|
| 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 | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-11-18 | 25,000 | $24.80 | 132,957 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-18 | 25,000 | $25.47 | 107,957 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-19 | 5,400 | $24.80 | 113,357 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-19 | 5,400 | $25.37 | 107,957 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2013-11-18 | 25,000 | $0.00 | 25,000 | $24.80 |
| Common Stock | Stock Option | Disposition | 2013-11-19 | 5,400 | $0.00 | 5,400 | $24.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 202,940 | 2004-11-20 | 2013-11-20 | No | 4 | M | Direct |
| 197,540 | 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 | 352,480 | Direct |
| Common Stock | Stock Option | $32.47 | 2005-03-22 | 2015-03-22 | 245,060 | 597,540 | Direct |
| Common Stock | Stock Option | $33.54 | 2005-11-20 | 2015-05-12 | 264,694 | 862,234 | Direct |
| Common Stock | Stock Option | $36.24 | 2007-01-25 | 2016-01-25 | 154,940 | 1,017,174 | Direct |
| Common Stock | Stock Option | $23.37 | 2009-02-21 | 2018-02-21 | 154,970 | 1,172,144 | Direct |
| Common Stock | Stock Option | $23.37 | 2009-02-21 | 2018-02-21 | 100,000 | 1,272,144 | Direct |
| Common Stock | Restricted Stock Units | $0.00 | 21,913 | 1,294,057 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 11,862 | 1,305,919 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 30,481 | 1,336,400 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-02-17 | 154,940 | 352,480 | Direct |
| 2015-03-22 | 245,060 | 597,540 | Direct |
| 2015-05-12 | 264,694 | 862,234 | Direct |
| 2016-01-25 | 154,940 | 1,017,174 | Direct |
| 2018-02-21 | 154,970 | 1,172,144 | Direct |
| 2018-02-21 | 100,000 | 1,272,144 | Direct |
| 21,913 | 1,294,057 | Direct | |
| 11,862 | 1,305,919 | Direct | |
| 30,481 | 1,336,400 | Direct |
Footnotes
- Represents the weighted average sales price per share. The shares were sold at prices ranging from $25.3000 to $25.7200 per shares. Full information regarding the number of shares sold at each separate price will be provided, upon request, to the staff of the U.S. Securities and Exchange Commission, the Issuer, or any security holder of the Issuer.
- Represents the weighted average sales price per share. The shares were sold at prices ranging from $25.3000 to $25.4400 per shares. Full information regarding the number of shares sold at each separate price will be provided, upon request, to the staff of the U.S. Securities and Exchange Commission, the Issuer, or any security holder of the Issuer.
- 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 December 20, 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 May 8, 2014, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.
Billionaire Hedge Funds
