Sec Form 4 Filing - CHAN KELLY L @ CATHAY GENERAL BANCORP - 2018-12-20

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
CHAN KELLY L
2. Issuer Name and Ticker or Trading Symbol
CATHAY GENERAL BANCORP [ CATY]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
777 NORTH BROADWAY
3. Date of Earliest Transaction (MM/DD/YY)
12/20/2018
(Street)
LOS ANGELES, CA90012
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 10,557 I By spouse
Common Stock 69,579 I Kelly & Barbara Chan Living Trust
Common Stock 30,596 I Partner - Chansons Properties
Common Stock 12/21/2018 J 200,000( 2 ) D $ 0 0 I Trustee - WHFC Grandchildren's Sprinkling Trust
Common Stock 12/20/2018 J 19,578( 1 ) A $ 0 33,368 I Trustee - Daryl Michael Chan Living Trust
Common Stock 86,830 D
Common Stock 12/21/2018 J 25,000( 3 ) A $ 0 58,368 I Trustee - Daryl Michael Chan Living Trust
1. Title of Derivative Security
(Instr. 3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
CHAN KELLY L
777 NORTH BROADWAY
LOS ANGELES, CA90012
X
Signatures
/s/ Georgia Lo, attorney-in-fact 12/26/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )On December 20, 2018, the Daryl Michael Chan Living Trust received a distribution of 19,578 shares of common stock of Cathay General Bancorp, without the payment of any consideration, from another trust as a beneficiary of that trust.
( 2 )On December 21, 2018, 200,000 shares of common stock of Cathay General Bancorp were distributed by the WHFC Granchildren's Sprinkling Trust, for no consideration, to its beneficiaries and the trust was terminated.
( 3 )On December 21, 2018, the Daryl Michael Chan Living Trust received a distribution of 25,000 shares of common stock of Cathay General Bancorp, without the payment of any consideration, from the WHFC Grandchildren's Sprinkling Trust as a beneficiary of that trust.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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