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CATHAY GENERAL BANCORP — Director's Dealing 2014
Dec 24, 2014
31304_dirs_2014-12-24_63f72bed-0bfa-4bcc-ba21-a4c87dba59e7.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2014-12-18
Reporting Person: Tai Pin (EVP, CLO, Cathay Bank)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-12-18 | Restricted Stock Units | $ | A | 7274 | Acquired | Common Stock (7274) | Direct | |
| 2014-12-18 | Restricted Stock Units | $ | A | 7629 | Acquired | Common Stock (7629) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7855 | Direct |
| Common Stock | 789.25 | Indirect |
Footnotes
F1: Each restricted stock unit represented a contingent right to receive one share of Common Stock uppn vesting. The number of restricted stock units that are earned can be reduced by up to 100% of the target award or increased by up to 150% of the target award, depending upon the achievement of certain performance criteria.
F2: These restricted stock units are scheduled to vest in a single installment on Decmeber 31, 2017, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2016 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.