- Annual Statement of Changes in Beneficial Ownership (5)
14 February 2009 - 5:19AM
Edgar (US Regulatory)
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FORM 5
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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February 28, 2011
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
CHANG MICHAEL M Y
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2. Issuer Name
and
Ticker or Trading Symbol
CATHAY GENERAL BANCORP [CATY]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
777 NORTH BROADWAY
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
12/31/2008
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(Street)
LOS ANGELES, CA 90012
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
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7. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Amount
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(A) or (D)
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Price
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Common Stock
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1/23/2008
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J
(1)
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156.85
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A
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$22.5979
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110403.59
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D
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Common Stock
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4/22/2008
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J
(1)
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204.547
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A
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$17.409
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110403.59
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D
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Common Stock
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7/22/2008
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J
(1)
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311.517
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A
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$11.50
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110403.59
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D
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Common Stock
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10/21/2008
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J
(1)
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177.581
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A
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$20.3578
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110403.59
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D
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Common Stock
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132944
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I
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As custodian for children
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Common Stock
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136000
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I
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Spouse as custodian for children
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Common Stock
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208812
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I
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Family Trust
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option
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$19.925
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1/16/2004
(2)
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1/16/2013
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Common Stock
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3800
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3800
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D
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Stock Option
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$24.80
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11/20/2004
(2)
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11/20/2013
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Common Stock
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11000
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14800
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D
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Stock Option
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$37.00
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2/17/2006
(3)
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2/17/2015
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Common Stock
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3500
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18300
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D
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Stock Option
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$36.24
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1/25/2007
(4)
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1/25/2016
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Common Stock
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3500
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21800
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D
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Stock Option
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$23.37
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2/21/2009
(5)
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2/21/2018
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Common Stock
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3500
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25300
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D
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Explanation of Responses:
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(
1)
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Dividend Reinvestment.
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(
2)
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The option is fully exercisable
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(
3)
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The option vests in 5 equal annual installments beginning 2/17/06.
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(
4)
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The option vests in 5 equal annual installments beginning 1/25/07.
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(
5)
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The option vests in 5 equal annual installments beginning 2/21/09.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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CHANG MICHAEL M Y
777 NORTH BROADWAY
LOS ANGELES, CA 90012
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X
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Signatures
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Michael M.Y. Chang
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2/13/2009
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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