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CATHAY GENERAL BANCORP — Director's Dealing 2011
Dec 16, 2011
31304_dirs_2011-12-16_3cc75281-37ab-4f51-b9f6-44e10b11f2ad.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2011-12-15
Reporting Person: CHENG DUNSON K (Director, Chairman, President, & CEO)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-12-15 | Restricted Stock Units | $ | A | 21913 | Acquired | Common Stock (21913) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 74160 | Direct |
| Common Stock | 101550 | Indirect |
| Common Stock | 628029 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option | $16.275 | 2012-02-21 | Common Stock (79320) | 79320 | Direct |
| Stock Option | $19.925 | 2013-01-16 | Common Stock (153060) | 232380 | Direct |
| Stock Option | $24.80 | 2013-11-20 | Common Stock (246940) | 479320 | Direct |
| Stock Option | $37.00 | 2015-02-17 | Common Stock (154940) | 634260 | Direct |
| Stock Option | $32.47 | 2015-03-22 | Common Stock (245060) | 879320 | Direct |
| Stock Option | $33.54 | 2015-05-12 | Common Stock (264694) | 1144014 | Direct |
| Stock Option | $36.24 | 2016-01-25 | Common Stock (154940) | 1298954 | Direct |
| Stock Option | $23.37 | 2018-02-21 | Common Stock (100000) | 1398954 | Direct |
| Stock Option | $23.37 | 2018-02-21 | Common Stock (154970) | 1553924 | Direct |
| Restricted Stock Units | $ | Common Stock (12384) | 1566308 | Direct |
Footnotes
F1: The option is fully exercisable.
F2: The option vests in 5 equal annual installments beginning 2/21/09.
F3: 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.
F4: These restricted stock units are scheduled to vest in a single installment on March 23, 2013, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.
F5: 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.