CATHAY GENERAL BANCORP — Director's Dealing 2017

Feb 22, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2017-02-17

Reporting Person: CHENG DUNSON K (Director, Executive Chairman)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-02-17	Common Stock	M	44040	—	Acquired	264072	Direct
2017-02-17	Common Stock	F	19312	$39.42	Disposed	244760	Direct
2017-02-17	Common Stock	M	60233	—	Acquired	304993	Direct
2017-02-17	Common Stock	F	31430	$39.42	Disposed	273563	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-02-17	Restricted Stock Unit	$	M	39292	Disposed		Common Stock (39292)	Direct
2017-02-17	Restricted Stock Unit	$	M	38095	Disposed		Common Stock (38095)	Direct

Holdings (Non-Derivative)

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

Footnotes

F1: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. Such restricted stock units were previously reported in Table II on a Form 4 filed by the Reporting Person with the Securities and Exchange Commission on December 20, 2013.

F2: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units.

F3: Of the previously reported target award of 39,292 shares of restricted stock unit, 106% of the target award was earned based upon the achievement of certain performance criteria.

F4: Of the previously reported target award of 38,095 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F5: Performance-based restricted stock units vested on December 31, 2016.