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CATHAY GENERAL BANCORP — Director's Dealing 2011
Feb 10, 2011
31304_dirs_2011-02-10_ebdad8f3-511f-4fe9-b95b-8f945bc001c2.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2010-12-31
Reporting Person: TARTAGLIA THOMAS G (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-12-31 | Common Stock | J | 43.75 | $10.4285 | Acquired | 11197 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 68462 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option | $15.0475 | 2011-01-18 | Common Stock (800) | 800 | Direct |
| Stock Option | $16.275 | 2012-01-21 | Common Stock (1200) | 2000 | Direct |
| Stock Option | $19.925 | 2013-01-16 | Common Stock (3040) | 5040 | Direct |
| Stock Option | $24.80 | 2013-11-20 | Common Stock (11000) | 16040 | Direct |
| Stock Option | $37.00 | 2015-02-17 | Common Stock (3500) | 19540 | Direct |
| Stock Option | $36.24 | 2016-01-25 | Common Stock (3500) | 23040 | Direct |
| Stock Option | $23.37 | 2018-02-21 | Common Stock (3500) | 26540 | Direct |
Footnotes
F1: ESOP Earning Allocation.
F2: 468 shares were distributed from ESOP to the reporting person on 12/6/10, and subsequently transferred to his Trust account on 12/16/10.
F3: The option is fully exercisable.
F4: The option vests in 5 equal annual installments beginning 1/25/07.
F5: The option vests in 5 equal annual installments beginning 2/21/09.
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