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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">UNITED STATES</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">SECURITIES AND EXCHANGE COMMISSION</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">Washington, D.C. 20549</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:12pt;margin:0pt;text-align:center;"><b>FORM <ix:nonNumeric contextRef="d20198K" name="dei:DocumentType"><b>8-K</b></ix:nonNumeric></b></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>CURRENT REPORT</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</b></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">Date of Report (Date of earliest event reported): <ix:nonNumeric contextRef="d20198K" format="ixt:datemonthdayyearen" name="dei:DocumentPeriodEndDate">October 17, 2019</ix:nonNumeric></p>

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(Exact name of registrant as specified in its charter)</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">(State or other jurisdiction</p>

			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">of incorporation)</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">File Number)</p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><ix:nonNumeric contextRef="d20198K" name="dei:EntityAddressAddressLine1">777 North Broadway</ix:nonNumeric>, <ix:nonNumeric contextRef="d20198K" name="dei:EntityAddressCityOrTown">Los&#xa0;Angeles</ix:nonNumeric>, <ix:nonNumeric contextRef="d20198K" format="ixt-sec:stateprovnameen" name="dei:EntityAddressStateOrProvince">California</ix:nonNumeric>&#xa0; &#xa0; <ix:nonNumeric contextRef="d20198K" name="dei:EntityAddressPostalZipCode">90012</ix:nonNumeric></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;text-indent:0pt;">&#xa0; &#xa0; &#xa0; &#xa0; &#xa0; &#xa0;&#xa0;&#xa0; (Address of principal executive offices)&#xa0; &#xa0; &#xa0;&#xa0;&#xa0;&#xa0;(Zip Code)</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">Registrant&#8217;s telephone number, including area code: (<ix:nonNumeric contextRef="d20198K" name="dei:CityAreaCode">213</ix:nonNumeric>)&#xa0;<ix:nonNumeric contextRef="d20198K" name="dei:LocalPhoneNumber">625-4700</ix:nonNumeric></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">Not Applicable</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Former name or former address, if changed since last report)</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</p>

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			<p style="font-family:'Times New Roman', Times, serif;margin-right:0pt;margin-top:0pt;text-align:left;margin-bottom:0pt;font-size:10pt;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p>
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			<p style="font-family:'Times New Roman', Times, serif;margin-right:0pt;margin-top:0pt;text-align:left;margin-bottom:0pt;font-size:10pt;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p>
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			<p style="font-family:'Times New Roman', Times, serif;margin-right:0pt;margin-top:0pt;text-align:left;margin-bottom:0pt;font-size:10pt;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">Securities registered pursuant to Section 12(b) of the Act:</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">Title of each class</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><ix:nonNumeric contextRef="d20198K" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName">Nasdaq Global Select Market</ix:nonNumeric></p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.</p>

<p style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; margin-top: 0pt; margin-bottom: 0pt;">&#xa0;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:36pt;margin-right:0pt;margin-top:0pt;text-align:right;text-indent:-36pt;">Emerging growth company <ix:nonNumeric contextRef="d20198K" format="ixt-sec:boolballotbox" name="dei:EntityEmergingGrowthCompany">&#9744;</ix:nonNumeric></p>

<p style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; margin-top: 0pt; margin-bottom: 0pt;">&#xa0;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. &#9744;</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>Item 8.01 Other Events</b></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">At a regularly scheduled board meeting held on October 17, 2019, the board of directors of Cathay Bank, a subsidiary of Cathay General Bancorp (the &#8220;Corporation&#8221;), appointed Chang M. Liu as President of Cathay Bank, effective as of October 17, 2019. Mr. Liu also will continue as the Chief Operating Officer of Cathay Bank, and has been elected as a board member of Cathay Bank, effective October 17, 2019.</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Mr. Liu, in his role as President and Chief Operating Officer of Cathay Bank, shall have responsibility for the general management and control of the business, day to day operations and affairs of Cathay Bank and the general supervision of all officers of Cathay Bank (other than the executive officers who are under the supervision of the Chief Executive Officer). Mr. Liu shall have such other powers and duties as are usually vested in a president and chief operating officer or as may be from time to time prescribed by Cathay Bank&#8217;s board of directors or its bylaws.</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Mr. Liu, age 52, joined Cathay Bank in 2014 as Senior Vice President and Assistant Chief Lending Officer. He was promoted to increasingly higher-level positions and in 2016, became Executive Vice President and Chief Lending Officer of Cathay Bank. On February 1, 2019, Mr. Liu was appointed the Executive Vice President and Chief Operating Officer of Cathay Bank. Prior to joining Cathay Bank, Mr. Liu was Executive Vice President and Chief Lending Officer at Banc of California (formerly known as Pacific Trust Bank) from 2011 to March of 2014. Mr. Liu has&#xa0;29 years of banking experience.</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Mr. Liu will continue to receive an annual base salary of $380,000, and he will be entitled to participate in the Corporation&#8217;s cash bonus and equity incentive plans. Mr. Liu&#8217;s appointments as President/COO and a director of Cathay Bank did not result in a change in the composition of the directors and officers of the Corporation. There is no arrangement or understanding with any person (other than directors or officers of Cathay Bank acting solely in their capacities as such) pursuant to which Mr. Liu was appointed as President/COO and a director of Cathay Bank. There are no family relationships between Mr. Liu and any director or executive officer of Cathay Bank or the Corporation, and Mr. Liu is not a party to any transaction requiring disclosure under Item 404(a) of Regulation S-K.&#xa0;&#xa0;&#xa0;</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Pin Tai continues to serve as the Chief Executive Officer and a director of the Corporation and Cathay Bank in accordance with the terms of his employment agreement, which was previously disclosed in a Form 8-K filed by the Corporation on June 20, 2019.</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:72pt;margin-right:0pt;margin-top:0pt;text-align:center;text-indent:-72pt;"><b>SIGNATURE</b></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;text-indent:36pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Date: October 17, 2019</p>

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			<p style="margin-top: 0; margin-bottom: 0;">CATHAY GENERAL BANCORP</p>
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			<p style="margin-top: 0; margin-bottom: 0;"><span style="font-family: 'Times New Roman', Times, serif; font-size: 10pt">/s/&#xa0;</span>Heng W. Chen</p>
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caty20191017_8k.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
October 17, 2019
CATHAY GENERAL
BANCORP
(Exact name of registrant as specified in its charter)
Delaware
001-31830
95-4274680
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
777 North Broadway
,
Los Angeles
,
California
90012
(Address of principal executive offices)        (Zip Code)
Registrant's telephone number, including area code: (
213
)
625-4700
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common stock
CATY
Nasdaq Global Select Market
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
Emerging growth company
☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 8.01 Other Events
At a regularly scheduled board meeting held on October 17, 2019, the board of directors of Cathay Bank, a subsidiary of Cathay General Bancorp (the "Corporation"), appointed Chang M. Liu as President of Cathay Bank, effective as of October 17, 2019. Mr. Liu also will continue as the Chief Operating Officer of Cathay Bank, and has been elected as a board member of Cathay Bank, effective October 17, 2019.
Mr. Liu, in his role as President and Chief Operating Officer of Cathay Bank, shall have responsibility for the general management and control of the business, day to day operations and affairs of Cathay Bank and the general supervision of all officers of Cathay Bank (other than the executive officers who are under the supervision of the Chief Executive Officer). Mr. Liu shall have such other powers and duties as are usually vested in a president and chief operating officer or as may be from time to time prescribed by Cathay Bank's board of directors or its bylaws.
Mr. Liu, age 52, joined Cathay Bank in 2014 as Senior Vice President and Assistant Chief Lending Officer. He was promoted to increasingly higher-level positions and in 2016, became Executive Vice President and Chief Lending Officer of Cathay Bank. On February 1, 2019, Mr. Liu was appointed the Executive Vice President and Chief Operating Officer of Cathay Bank. Prior to joining Cathay Bank, Mr. Liu was Executive Vice President and Chief Lending Officer at Banc of California (formerly known as Pacific Trust Bank) from 2011 to March of 2014. Mr. Liu has 29 years of banking experience.
Mr. Liu will continue to receive an annual base salary of $380,000, and he will be entitled to participate in the Corporation's cash bonus and equity incentive plans. Mr. Liu's appointments as President/COO and a director of Cathay Bank did not result in a change in the composition of the directors and officers of the Corporation. There is no arrangement or understanding with any person (other than directors or officers of Cathay Bank acting solely in their capacities as such) pursuant to which Mr. Liu was appointed as President/COO and a director of Cathay Bank. There are no family relationships between Mr. Liu and any director or executive officer of Cathay Bank or the Corporation, and Mr. Liu is not a party to any transaction requiring disclosure under Item 404(a) of Regulation S-K.
Pin Tai continues to serve as the Chief Executive Officer and a director of the Corporation and Cathay Bank in accordance with the terms of his employment agreement, which was previously disclosed in a Form 8-K filed by the Corporation on June 20, 2019.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Date: October 17, 2019
CATHAY GENERAL BANCORP
By:
/s/
Heng W. Chen
Heng W. Chen
Executive Vice President and
Chief Financial Officer