0001437749-18-004560.txt : 20180313 0001437749-18-004560.hdr.sgml : 20180313 20180313201850 ACCESSION NUMBER: 0001437749-18-004560 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180309 FILED AS OF DATE: 20180313 DATE AS OF CHANGE: 20180313 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lee Mark Hakjoon CENTRAL INDEX KEY: 0001463314 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31830 FILM NUMBER: 18688088 MAIL ADDRESS: STREET 1: CATHAY GENERAL BANCORP STREET 2: 9650 FLAIR DRIVE CITY: EL MONTE STATE: CA ZIP: 91731 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATHAY GENERAL BANCORP CENTRAL INDEX KEY: 0000861842 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 954274680 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 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 FORMER COMPANY: FORMER CONFORMED NAME: CATHAY BANCORP INC DATE OF NAME CHANGE: 19930328 4 1 rdgdoc.xml MARK LEE X0306 4 2018-03-09 0000861842 CATHAY GENERAL BANCORP CATY 0001463314 Lee Mark Hakjoon 777 NORTH BROADWAY LOS ANGELES CA 90012 1 EVP, Chief Credit Officer Restricted Stock Units 2018-03-09 4 A 0 263 0 A Common Stock 263 263 D Restricted Stock Units 2018-03-09 4 A 0 4566 0 A Common Stock 4566 4566 D Each restricted stock unit represents a contingent right to receive one share of Common Stock upon vesting. On March 9, 2018, the Issuer granted to the Reporting Person 263 restricted stock units that will vest, in full, on March 9, 2019, or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. On March 9, 2018, the Issuer granted the Reporting Person an additional 4,566 restricted stock units. These restricted stock units will vest, in full, in a single installment on March 9, 2021, subject to the Reporting Person's continued employment with the Issuer or its bank subsidiary at the time of vesting; provided that, if the Reporting Person dies, suffers a permanent disability or terminates his employment on account of retirement prior to the vesting date, then the number of common stock otherwise issuable upon vesting of the restricted stock units shall be prorated to reflect the period from the grant date to the date of any such termination of employment of the Reporting Person. /s/ Georgia Lo, attorney-in-fact 2018-03-13