-----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, EjFWUYmfgdHog8LFclbEY5IPxPVhDccJQGS9DC0LxmrdUz7vajyfbrGlkyVXQEAT 3yW/bMNSSVKwVn3OMmOYzw== 0000912057-00-005064.txt : 20000211 0000912057-00-005064.hdr.sgml : 20000211 ACCESSION NUMBER: 0000912057-00-005064 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000210 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: 530896 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 SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6 )* ------ CATHAY BANCORP, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 - -------------------------------------------------------------------------------- (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). 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 (a) / / of a Group (See Instructions) (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: 571,694.95 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 571,649.95 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) 6.33% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) EP - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 4 pages ITEM 1. (a) NAME OF ISSUER Cathay Bancorp, Inc. 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 SECTIONS 240.13d-1(b) OR 240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Employee Benefit Plan, which is subject to the provision of the Employee Retirement Security Act of 1974. 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: 571,649.95 --------------------------------------------------------------------------- (b) Percent of class: 6.33% --------------------------------------------------------------------------- (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 ----------------------------------------------------------------- (iii) Sole power to dispose or to direct the disposition of ----------------------------------------------------------------- (iv) Shared power to vote or to direct the vote 571,649.95 ----------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not applicable Page 3 of 4 pages ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT 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 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 purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Dated February 10, 2000 CATHAY BANK EMPLOYEE STOCK OWNERSHIP PLAN By: Dunson Cheng -------------------------------- Dunson Cheng, Trustee By: Anthony M. Tang -------------------------------- Anthony M. Tang, Trustee Page 4 of 4 pages -----END PRIVACY-ENHANCED MESSAGE-----