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CATHAY GENERAL BANCORP — Director's Dealing 2017
Dec 29, 2017
31304_dirs_2017-12-28_96041005-e4c1-4763-a830-05deaec2e089.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: 2017-12-26
Reporting Person: WONG IRWIN (SEVP, Chief Operating Officer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-12-26 | Restricted Stock Units | $ | A | 3756 | Acquired | Common Stock (3756) | Direct | |
| 2017-12-26 | Restricted Stock Units | $ | A | 3568 | Acquired | Common Stock (3568) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 29920.84 | Direct |
| Common Stock | 18115.19 | Indirect |
Footnotes
F1: Includes 125.94 shares acquired through dividend reinvestment year-to-date
F2: Includes 296.41 shares acquired through dividend reinvestment year-to-date.
F3: 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.
F4: These restricted stock units are scheduled to vest in a single installment on December 31, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.