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Chan Kelly L – ‘5’ for 12/29/06 re: Cathay General Bancorp

On:  Monday, 2/26/07, at 12:26pm ET   ·   For:  12/29/06   ·   As:  Director   ·   Accession #:  1262063-7-16   ·   File #:  0-18630

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/26/07  Chan Kelly L                      5          Director    1:13K  Cathay General Bancorp            Chen Monica/FA

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 5   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 5           Annual Statement of Changes in Beneficial           HTML     13K 
                Ownership of Securities by an Insider --                         
                edgar.xml/2.2


        

This ‘5’ Document is an XML Data File that may be rendered in various formats:

  Form 5    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Annual Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0202
Document Type:  5
Period of Report:  12/29/06
Form 3 Holdings Reported:  0
Form 4 Transactions Reported:  0
Issuer:
Issuer CIK:  861842
Issuer Name:  CATHAY GENERAL BANCORP
Issuer Trading Symbol:  CATY
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1185626
Owner Name:  CHAN KELLY L
Reporting Owner Address:
Owner Street 1:  777 N. BROADWAY
Owner Street 2:
Owner City:  LOS ANGELES
Owner State:  CA
Owner ZIP Code:  90012
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  No
Non-Derivative Table:
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  90,680
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  9,800
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Spouse
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  58,288
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Living Trust
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  13,184
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  As custodian for children
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  12/22/06
Transaction Coding:
Transaction Form Type:  5
Transaction Code:  G
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  3,588
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  27,096
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Partner - Chansons Properties
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  200,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Trustee - WHFC Trust
Derivative Table:
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  10.625
Exercise Date:
Value:  1/20/01
Footnote ID:  F1
Expiration Date:
Value:  1/20/10
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  2000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  2000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  15.0475
Exercise Date:
Value:  1/18/02
Footnote ID:  F1
Expiration Date:
Value:  1/18/11
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  2000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  4,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  16.275
Exercise Date:
Value:  2/21/03
Footnote ID:  F2
Expiration Date:
Value:  2/21/12
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  2000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  6,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  19.925
Exercise Date:
Value:  1/16/04
Footnote ID:  F3
Expiration Date:
Value:  1/16/13
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  3,800
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  9,800
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  24.80
Exercise Date:
Value:  11/20/04
Footnote ID:  F4
Expiration Date:
Value:  11/20/13
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  11,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  20,800
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  37.00
Exercise Date:
Value:  2/17/06
Footnote ID:  F5
Expiration Date:
Value:  2/17/15
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  3,500
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  24,300
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  36.24
Exercise Date:
Value:  1/25/07
Footnote ID:  F6
Expiration Date:
Value:  1/25/16
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  3,500
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  27,800
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Footnotes:
Footnote - F1:  The option is fully exercisable.
Footnote - F2:  The option vests in 5 equal annual installments beginning 2/21/03.
Footnote - F3:  The option vests in 5 equal annual installments beginning 1/16/04.
Footnote - F4:  The option vests in 5 equal annual installments beginning 11/20/04.
Footnote - F5:  The option vests in 5 equal annual installments beginning 2/17/06.
Footnote - F6:  The option vests in 5 equal annual installments beginning 1/25/07.
Remarks:
Owner Signature:
Signature Name:  Kelly L. Chan
Signature Date:  2/26/07


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