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: CHENG DUNSON K (Director, Executive Chairman)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-12-15	Restricted Stock Units	$	A	11635	Acquired		Common Stock (11635)	Direct
2016-12-15	Restricted Stock Units	$	A	6057	Acquired		Common Stock (6057)	Direct
2016-12-15	Restricted Stock Units	$	A	5817	Acquired		Common Stock (5817)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	243907	Direct
Common Stock	445577	Indirect
Common Stock	182452	Indirect
Common Stock	102904	Indirect

Footnotes

F1: 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.

F2: 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.