Sec Form 4 Filing - Lee Mark Hakjoon @ CATHAY GENERAL BANCORP - 2019-03-11

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
Lee Mark Hakjoon
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 Credit Officer
(Last) (First) (Middle)
777 NORTH BROADWAY
3. Date of Earliest Transaction (MM/DD/YY)
03/11/2019
(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 03/11/2019 M( 1 ) 268 A 268 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
Restricted Stock Units ( 2 ) 03/11/2019 M 268 ( 3 ) ( 3 ) Common Stock 268 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Lee Mark Hakjoon
777 NORTH BROADWAY
LOS ANGELES, CA90012
EVP, Chief Credit Officer
Signatures
/s/ Georgia Lo, attorney-in-fact 03/13/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II.
( 2 )Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.
( 3 )The Reporting Person previously reported the award of 263 restricted stock units, based on a closing stock price as of March 9, 2018, on Form 4 filed March 13, 2018. The actual number of restricted stock units issued was 268 based on a closing stock price as of March 8, 2018. In addition, such restricted stock units actually vested in full on the date of grant, with the shares of common stock to be distributed on the first anniversary of the date of the grant or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer.

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).
** 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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