AI assistant
CATHAY GENERAL BANCORP — Director's Dealing 2015
Nov 26, 2015
31304_dirs_2015-11-25_d400239d-9590-42ce-8975-b70ef0da95f9.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2015-11-24
Reporting Person: WU PETER (Director, Vice Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-11-24 | Common Stock | M | 42230 | $23.37 | Acquired | 55206 | Direct |
| 2015-11-24 | Common Stock | S | 42230 | $34.3157 | Disposed | 12976 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-11-24 | Stock Option | $23.37 | M | 42230 | Disposed | 2018-02-21 | Common Stock (42230) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 857799 | Indirect |
| Common Stock | 28412 | Indirect |
Footnotes
F1: A Delaware limited liability company of which the Wu Family Trust serves 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 the extent of his pecuniary interest therein.
F2: The option is fully exercisable.