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CATHAY GENERAL BANCORP — Director's Dealing 2014
May 12, 2014
31304_dirs_2014-05-12_6346392d-cd3d-4114-bfc7-971bac6900c8.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: 2014-05-08
Reporting Person: WU PETER (Director, Executive Vice Chairman/COO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-05-08 | Common Stock | M | 5379 | — | Acquired | 14998 | Direct |
| 2014-05-08 | Common Stock | F | 2022 | $23.43 | Disposed | 12976 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-05-08 | Restricted Stock Units | $0 | M | 5379 | Disposed | Common Stock (5379) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 882516 | Indirect |
Footnotes
F1: Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II.
F2: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.
F3: Shares withheld by Registrant to satisfy minimum statutorywithholding requirements on vesting of restriced stock units.
F4: On April 7, 2014, 18,217 shares were transferred to PACJU, LLC as reporting person's indirect beneficial owning.
F5: The reporting person is a co-trustee, together with his spouse, of the Wu Trust (the "Trust"), which has transferred the shares of CATY Common Stock previously held by the Trust to PACJU, LLC ("PACJU"), a Delaware limited liability company of which the Trust will serve as Manager and hold a 51.5% interest, with the reporting person and his spouse each holding a .5% ownership interest in PACJU in their own names. The balance of the interests in PACJU will be held by the reporting person's adult children, none of whom shares a household with the reporting person. The reporting person disclaims beneficial ownership of CATY Stock held by PACJU except to the extent of his pecuniary interest therein.
F6: The reporting person previously reported the award of 5,379 shares of restricted stock units on Form 4 filed May 10, 2012. All of these restricted stock units vested on May 8, 2014.