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: CHEN HENG W (EVP/CFO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-02-17	Common Stock	M	16514	—	Acquired	78454	Direct
2017-02-17	Common Stock	F	6305	$39.42	Disposed	72149	Direct
2017-02-17	Common Stock	M	22586	—	Acquired	94735	Direct
2017-02-17	Common Stock	F	10493	$39.42	Disposed	84242	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-02-17	Restricted Stock Units	$	M	14734	Disposed		Common Stock (14734)	Direct
2017-02-17	Restricted Stock Units	$	M	14285	Disposed		Common Stock (14285)	Direct

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 14,734 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 14,285 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.