CATHAY GENERAL BANCORP — Director's Dealing 2016

Nov 17, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2016-11-14

Reporting Person: CHEN HENG W (EVP/CFO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-11-14	Common Stock	M	12000	$23.37	Acquired	73940.37	Direct
2016-11-14	Common Stock	S	12000	$35.1891	Disposed	61940.37	Direct
2016-11-15	Common Stock	M	22000	$23.37	Acquired	83940.37	Direct
2016-11-15	Common Stock	S	22000	$35.2352	Disposed	61940.37	Direct
2016-11-16	Common Stock	M	10000	$23.37	Acquired	71940.37	Direct
2016-11-16	Common Stock	S	10000	$35.0418	Disposed	61940.37	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-11-14	Stock Option	$23.37	M	12000	Disposed	2018-02-21	Common Stock (12000)	Direct
2016-11-15	Stock Option	$23.37	M	22000	Disposed	2018-02-21	Common Stock (22000)	Direct
2016-11-16	Stock Option	$23.37	M	10000	Disposed	2018-02-21	Common Stock (10000)	Direct

Footnotes

F1: Includes 188.71 shares acquired through dividend reinvestment year-to-date

F2: The option is fully exercisable.