CATHAY GENERAL BANCORP — Director's Dealing 2016

Dec 20, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2016-12-15

Reporting Person: WONG IRWIN (SEVP, Chief Operating Officer)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-12-15	Restricted Stock Units	$	A	7779	Acquired		Common Stock (7779)	Direct
2016-12-15	Restricted Stock Units	$	A	4050	Acquired		Common Stock (4050)	Direct
2016-12-15	Restricted Stock Units	$	A	3889	Acquired		Common Stock (3889)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	29794.89	Direct
Common Stock	17036.14	Indirect

Footnotes

F1: Includes 130.945 shares acquired through dividend reinvestment year-to-date

F2: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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.

F3: These restricted stock units are scheduled to vest in a single installment on December 31, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.