Statement of Changes in Beneficial Ownership (4)
October 05 2020 - 6:43PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Zhou Catherine |
2. Issuer Name and Ticker or Trading Symbol
EAST WEST BANCORP INC
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EWBC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Vice President |
(Last)
(First)
(Middle)
EAST WEST BANCORP, INC., 135 N. LOS ROBLES AVE 7TH FLR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/2/2020 |
(Street)
PASADENA, CA 91101
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 10/2/2020 | | M | | 33135 | A | (1) | 35688 | D | |
Common Stock | 10/2/2020 | | F | | 16429 (2) | D | $33.57 | 19259 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Time-Based Restricted Stock Units | (1) | 10/2/2020 | | M | | | 33135 | (1) | 10/2/2020 | Common Stock | 33135.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Restricted Stock Units ("RSU") granted on October 2, 2017 fully vest after three years on October 2, 2020. Each RSU represents the right to receive, at settlement, one share of common stock. |
(2) | Shares withheld for payment of tax liability in connection with the vesting of the RSU. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Zhou Catherine EAST WEST BANCORP, INC. 135 N. LOS ROBLES AVE 7TH FLR PASADENA, CA 91101 |
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| Executive Vice President |
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Signatures
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/s/ Louisa Wang, as Attorney-in-fact | | 10/5/2020 |
**Signature of Reporting Person | Date |
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