Statement of Changes in Beneficial Ownership (4)
06 April 2021 - 8:35AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
BINGHAM KIM R |
2. Issuer Name and Ticker or Trading Symbol
CATHAY GENERAL BANCORP
[
CATY
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP, Chief Risk Officer |
|
(Last)
(First)
(Middle)
777 NORTH BROADWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/1/2021 |
|
(Street)
LOS ANGELES, CA 90012
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Common Stock | 4/1/2021 | | M | | 3338 (1) | A | $0 | 34005 | D | |
| Common Stock | 3/15/2021 | | F | | 1155 | D | $41.48 | 32850 | D | |
| Common Stock | 4/1/2021 | | M | | 4091 (2) | A | $0 | 36941 | D | |
| Common Stock | 3/15/2021 | | F | | 1415 | D | $41.48 | 35526 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units | (3) | 4/1/2021 | | M | | | 1988 (1) | (4) | (4) | Common Stock | 0 | $0 | 0 | D | |
| Restricted Stock Units | (5) | 4/1/2021 | | M | | | 3969 (2) | (4) | (4) | Common Stock | 0 | $0 | 0 | D | |
| Explanation of Responses: |
| (1) | Of the previously reported target award of 1,988 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. |
| (2) | Of the previously reported target award of 3,969 shares of performance-based restricted stock units, 92.612% of the target award was earned based upon the achievement of certain performance criteria. |
| (3) | Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 26, 2017. Such restricted stock units were previously reported in Table II on a Form 4 filed by the Reporting Person with the Securities and Exchange Commission on December 28, 2017. |
| (4) | Performance-based restricted stock units vested on December 31, 2020. |
| (5) | Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on March 15, 2018. Such restricted stock units were previously reported in Table II on a Form 4 filed by the Reporting Person with the Securities and Exchange Commission on March 19, 2018. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
BINGHAM KIM R
777 NORTH BROADWAY
LOS ANGELES, CA 90012 |
|
| EVP, Chief Risk Officer |
|
Signatures
|
| /s/ Georgia Lo, attorney-in-fact | | 4/5/2021 |
| **Signature of Reporting Person | Date |
Cathay General Bancorp (NASDAQ:CATY)
Historical Stock Chart
From Jun 2024 to Jul 2024
Cathay General Bancorp (NASDAQ:CATY)
Historical Stock Chart
From Jul 2023 to Jul 2024
