Sec Form 4 Filing - Tai Pin @ CATHAY GENERAL BANCORP - 2013-10-28

Insider filing report for Changes in Beneficial Ownership
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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
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(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Tai Pin
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, CLO, Cathay Bank
(Last) (First) (Middle)
CATHAY GENERAL BANCORP, 9650 FLAIR DRIVE
3. Date of Earliest Transaction (MM/DD/YY)
10/28/2013
(Street)
EL MONTE, CA91731
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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 10/28/2013 M 16,180 A $ 24.8 21,534 D
Common Stock 10/28/2013 S 16,180 D $ 25.7 5,354 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Stock Option $ 24.8 10/28/2013 M 16,180 11/20/2004( 1 ) 11/20/2013 Common Stock 16,180 $ 0 0 D
Stock Option $ 28.695 02/19/2005( 1 ) 02/19/2014 Common Stock 8,000 8,000 D
Stock Option $ 37 02/17/2006( 1 ) 02/17/2015 Common Stock 14,710 22,710 D
Stock Option $ 36.9 01/19/2007( 1 ) 01/19/2016 Common Stock 13,750 36,460 D
Stock Option $ 23.37 02/21/2009( 1 ) 02/21/2018 Common Stock 25,000 61,460 D
Restricted Stock Units ( 2 ) ( 3 ) ( 3 ) Common Stock 4,938 66,398 D
Restricted Stock Units ( 2 ) ( 4 ) ( 4 ) Common Stock 3,084 69,482 D
Restricted Stock Units ( 2 ) ( 5 ) ( 5 ) Common Stock 3,981 73,463 D
Restricted Stock Units ( 2 ) ( 6 ) ( 6 ) Common Stockd 3,973 77,436 D
Restricted Stock Units ( 2 ) ( 7 ) ( 7 ) Common Stock 1,454 78,890 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Tai Pin
CATHAY GENERAL BANCORP
9650 FLAIR DRIVE
EL MONTE, CA91731
EVP, CLO, Cathay Bank
Signatures
/s/ Pin Tai 10/28/2013
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The option is fully exercisable.
( 2 )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.
( 3 )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.
( 4 )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.
( 5 )These restricted stock units are scheduled to vest in a single installment on March 14, 2015, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.
( 6 )These restricted stock units are scheduled to vest in a single installment on April 15, 2015, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.
( 7 )These restricted stock units are scheduled to vest in a single installment on May 17, 2015, or earlier in the event of death or disability, and are subject to certain transfer restrictions under EESA.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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