CATHAY GENERAL BANCORP 4

4 · CATHAY GENERAL BANCORP · Filed Oct 29, 2013

Form 4

Period: 2013-10-28

General Counsel

Transactions

Sale
Common Stock
2013-10-28$25.56/sh−8,080$206,525→ 3,685 total
Exercise/Conversion
Stock Option
2013-10-28−10,080→ 10,000 total
Exercise: $24.80From: 2004-11-20Exp: 2013-11-20→ Common Stock (10,080 underlying)
Exercise/Conversion
Common Stock
2013-10-28$24.80/sh+10,080$249,984→ 11,765 total
Sale
Common Stock
2013-10-28$25.70/sh−2,000$51,400→ 1,685 total

Holdings

Stock Option
Exercise: $37.00From: 2006-02-17Exp: 2015-02-17→ Common Stock (6,000 underlying)
16,000
Stock Option
Exercise: $23.37From: 2009-02-21Exp: 2018-02-21→ Common Stock (5,500 underlying)
27,000
Restricted Stock Units
→ Common Stock (4,186 underlying)
35,558
Stock Option
Exercise: $36.24From: 2007-01-25Exp: 2016-01-25→ Common Stock (5,500 underlying)
21,500
Restricted Stock Units
→ Common Stock (596 underlying)
31,372
Restricted Stock Units
→ Common Stock (3,776 underlying)
30,776

Footnotes (6)

[F1]Represents the weighted average sales price per share. The shares were sold at prices ranging from $25.51 to $25.6225 per share. Full information regarding the number of shares sold at each separate price will be provided, upon request, to the staff of the U.S. Securities and Exchange Commission, the Issuer, or any security holder of the Issuer.
[F2]The option is fully exercisable.
[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 December 15, 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 May 8, 2014, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.
[F6]These restricted stock units are scheduled to vest in a single installment on December 20, 2014, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.

Documents

1 file