false
0000861842
0000861842
2021-05-17
2021-05-17
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): May 17, 2021
CATHAY GENERAL BANCORP
(Exact name of registrant as specified in its charter)
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Delaware
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001-31830
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95-4274680
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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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:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common stock
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CATY
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Nasdaq Global Select Market
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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 5.07 Submission of Matters to a Vote of Security Holders.
On May 17, 2021, Cathay General Bancorp (the “Company”) held its Annual Meeting of Stockholders at which the stockholders voted upon (i) the election of four Class I directors to serve until the 2024 annual meeting of stockholders and one Class II director to serve until the 2022 annual meeting of stockholders, and their successors have been elected and qualified, (ii) an advisory (non-binding) resolution to approve the Company’s executive compensation disclosed in the proxy statement, and (iii) the ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the 2021 fiscal year.
The stockholders elected all four Class I director nominees and one Class II director nominee, approved the advisory (non-binding) resolution to approve the Company’s executive compensation disclosed in the proxy statement, and ratified the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the 2021 fiscal year. On the record date of April 1, 2021, there were 79,597,097 shares of the Company’s common stock issued and outstanding and entitled to vote at the annual meeting. The number of votes cast for and against, as well as the number of abstentions and broker non-votes as to each such matter voted upon, as applicable, are set forth below.
Election of Directors
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Nominee
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Class
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For
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Against
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Abstain
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Broker
Non-Votes
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Jane Jelenko
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I
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54,431,839 |
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6,068,850 |
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53,886 |
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6,701,992 |
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Anthony M. Tang
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I
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56,064,223 |
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4,418,283 |
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72,069 |
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6,701,992 |
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Shally Wang
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I
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60,180,092 |
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126,640 |
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247,843 |
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6,701,992 |
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Peter Wu
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I
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55,805,157 |
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4,513,394 |
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236,024 |
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6,701,992 |
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Chang M. Liu
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II
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59,830,832 |
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672,546 |
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51,197 |
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6,701,992 |
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Advisory (Non-Binding) Vote to Approve Our Executive Compensation
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For
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Against
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Abstain
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Broker
Non-Votes
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| 57,788,773 |
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2,572,166 |
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193,636 |
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6,701,992 |
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Proposal to Ratify the Appointment of KPMG LLP as Our Independent Registered Public Accounting Firm for the 2021 Fiscal Year
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For
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Against
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Abstain
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Broker
Non-Votes
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| 66,020,253 |
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1,168,418 |
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67,896 |
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N/A |
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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: May 18, 2021
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CATHAY GENERAL BANCORP
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By:
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/s/ Heng W. Chen
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Heng W. Chen
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Executive Vice President and
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Chief Financial Officer |
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