-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, C+xCuFsPzaE5SgwOijRTG2tmkCc/gUXRPbXony3IoJtwrpEqf3BPXctLcDYZE5sG rSOknAJyXAAFfD+X2GnZmQ== 0001047469-99-004320.txt : 19990211 0001047469-99-004320.hdr.sgml : 19990211 ACCESSION NUMBER: 0001047469-99-004320 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CATHAY BANCORP INC CENTRAL INDEX KEY: 0000861842 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 954274680 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-41381 FILM NUMBER: 99527582 BUSINESS ADDRESS: STREET 1: 777 N BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 BUSINESS PHONE: 2136254700 MAIL ADDRESS: STREET 1: 777 NORTH BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CATHAY BANK EMPLOYEE STOCK OWNERSHIP PLAN CENTRAL INDEX KEY: 0001032216 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 777 NORTH BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 BUSINESS PHONE: 2136254749 MAIL ADDRESS: STREET 1: 777 NORTH BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 SC 13G/A 1 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5 )* ------ CATHAY BANCORP, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 149150104 ---------------------------------- (CUSIP Number) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 4 pages CUSIP No. 149150104 13G Page 2 of 4 Pages --------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Cathay Bank Employee Stock Ownership Plan - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group* (a) / / (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization Los Angeles, California - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially Owned by --------------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 561,785.97 shares Participants have the right to vote the shares allocated to their accounts; unvoted or unallocated shares will be voted by the Trustees. --------------------------------------------------------- (7) Sole Dispositive Power --------------------------------------------------------- (8) Shared Dispositive Power - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 561,785.97 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 6.25% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* EP - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT Page 2 of 4 pages Item 1. (a) NAME OF ISSUER: Cathay Bancorp, Inc., a Delaware corporation ("Issuer") (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 777 North Broadway Los Angeles, California 90012 Item 2. (a) NAME OF PERSON FILING: Cathay Bank Employee Stock Ownership Plan . (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 777 North Broadway, Los Angeles, CA 90012 (c) CITIZENSHIP: Los Angeles, California (d) TITLE OF CLASS OF SECURITIES: Common Stock, $.01 par value, of Issuer (the "Common Stock"), registered under Section 12 of the Securities Exchange Act of 1934, as amended. (e) CUSIP NUMBER: 149 150 104 Item 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b), OR (c), CHECK WHETHER THE PERSON FILING IS: Employee Benefit Plan, which is subject to the provision of the Employee Retirement Security Act of 1974. Item 4. OWNERSHIP: (a) Amount Beneficially Owned: 561,785.97 (b) Percent of Class: 6.25% (c) Number of shares as to which such person has shared power to vote or to direct the vote: 561,785.97 Item 5. OWNERSHIP OF FIVE PER CENT OR LESS OF A CLASS: Not applicable Page 3 of 4 Item 6. OWNERSHIP OF MORE THAT FIVE PER CENT ON BEHALF OF ANOTHER PERSON: The holdings reported herein are for the benefit of participants in the Cathay Bank Employee Ownership Plan. Item 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not applicable Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not applicable Item 9. NOTICE OF DISSOLUTION OF A GROUP: Not applicable Item 10. CERTIFICATION: By signing below we certify that, to the best of our knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction have such purposes or effect. SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Dated February 10, 1999 CATHAY BANK EMPLOYEE STOCK OWNERSHIP PLAN ----------------- By: Dunson Cheng ----------------------------------- Dunson Cheng, Trustee By: Anthony M. Tang ----------------------------------- Anthony M. Tang, Trustee Page 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----