-----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, TJJd/Db8esaHVkhTigZY9586IODmGsoc6B0Es4/7PjtQmaiCVXxKjruD55p3Fqno oSYZF/WffcFbCA9K7mXoSA== 0001104659-03-001839.txt : 20030213 0001104659-03-001839.hdr.sgml : 20030213 20030213080807 ACCESSION NUMBER: 0001104659-03-001839 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030213 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: 1934 Act SEC FILE NUMBER: 005-41381 FILM NUMBER: 03556568 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 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 j7082_sc13ga.htm SC 13G/A

SEC 1745
(02-02)


Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 

 

UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE COMMISSION

OMB Number:
3235-0145

 

Washington, D.C. 20549

Expires: December 31, 2005

 

SCHEDULE 13G

Estimated average burden hours per response. . 11

 

Under the Securities Exchange Act of 1934
(Amendment No. 9)*

 

Cathay Bancorp, Inc.

(Name of Issuer)

 

Common stock, $0.01 par value

(Title of Class of Securities)

 

149150104

(CUSIP Number)

 

December 31, 2002

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

[X]

Rule 13d-1(b)

[   ]

Rule 13d-1(c)

[   ]

Rule 13d-1(d)

 

*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).

 

 

 

CUSIP No.  149150104

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Cathay Bank Employee Stock Ownership Plan,  95-4027778

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

[   ]

 

 

(b)

[   ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Los Angeles, California

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power

 

6.

Shared Voting Power
982,120 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
982,120 shares

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
[   ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
5.46%

 

 

12.

Type of Reporting Person (See Instructions)
EP

 

 

2

 

Item 1.

 

(a)

Name of Issuer
Cathay Bancorp, Inc., a Delaware corporation

 

(b)

Address of Issuer's Principal Executive Offices
777 North Broadway
Los Angeles, CA 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, $0.01 par value, of issuer (the "Common Stock"), registered under Section 12 of the Securities Exchange Act of 1934, as amended.

 

(e)

CUSIP Number
149150104

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

[   ]

(a)

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

[   ]

(b)

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

[   ]

(c)

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

[   ]

(d)

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 

[   ]

(e)

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

[X]

(f)

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

[   ]

(g)

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 

[   ]

(h)

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

[   ]

(i)

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

[   ]

(j)

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

 

3

 

Item 4.

Ownership.

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned: 982,120

 

(b)

Percent of class:    5.46%

 

(c)

Number of shares as to which the person has:

 

 

(i)

Sole power to vote or to direct the vote   

 

 

(ii)

Shared power to vote or to direct the vote    982,120

 

 

(iii)

Sole power to dispose or to direct the disposition of   

 

 

(iv)

Shared power to dispose or to direct the disposition of   

Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d3(d)(1).

 

Item 5.

Ownership of Five Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following   Not applicable.  Instruction: Dissolution of a group requires a response to this item.

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.  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 or Control Person.

If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.   Not applicable

 

Item 8.

Identification and Classification of Members of the Group

If a group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to §240.13d-1(c) or §240.13d-1(d), attach an exhibit stating the identity of each member of the group.   Not applicable

 

Item 9.

Notice of Dissolution of Group

Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.  Not applicable

 

Item 10.

Certification

 

(a)

The following certification shall be included if the statement is filed pursuant to §240.13d-1(b):

[X]

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 

 

 

(b)

The following certification shall be included if the statement is filed pursuant to §240.13d-1(c):

 

 

 

[   ]

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 

 

[   ]

 

Not applicable

 

 

4

 

Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

 

February 13, 2003

 

Date

 


/s/Dunson Cheng

 

Signature

 


Dunson Cheng, Trustee
Cathay Bank Employee Stock
Ownership Plan

 

Name/Title

 

 

5

 -----END PRIVACY-ENHANCED MESSAGE-----