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CATHAY GENERAL BANCORP — Director's Dealing 2011
Jan 12, 2011
31304_dirs_2011-01-12_dca7de9a-551e-4140-b446-fc889976d56a.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: 2011-01-11
Reporting Person: LEE PATRICK (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-01-11 | Common Stock | M | 2000 | $15.0475 | Acquired | 2000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-01-11 | Stock Option | $15.0475 | M | 2000 | Disposed | 2011-01-18 | Common Stock (0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 232730 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option | $16.275 | 2012-02-21 | Common Stock (2000) | 2000 | Direct |
| Stock Option | $19.925 | 2013-01-16 | Common Stock (3800) | 5800 | Direct |
| Stock Option | $24.80 | 2013-11-20 | Common Stock (11000) | 16800 | Direct |
| Stock Option | $37.00 | 2015-02-17 | Common Stock (3500) | 20300 | Direct |
| Stock Option | $36.24 | 2016-01-25 | Common Stock (3500) | 23800 | Direct |
| Stock Option | $23.37 | 2018-02-21 | Common Stock (3500) | 27300 | Direct |
Footnotes
F1: The option is fully exercisable.
F2: The option vests in 5 equal annual installments beginning 1/25/07.
F3: The option vests in 5 equal annual installments beginning 2/21/09.
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