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CATHAY GENERAL BANCORP — Director's Dealing 2018
Apr 26, 2018
31304_dirs_2018-04-26_96fcf3f4-f7cb-4405-8a45-32e2898772cc.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2018-04-19
Reporting Person: Kim Lisa L. (EVP, General Counsel)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1555 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Common Stock (3951) | Direct | ||
| Restricted Stock Units | $ | Common Stock (453) | Direct | ||
| Restricted Stock Units | $ | Common Stock (3706) | Direct | ||
| Restricted Stock Units | $ | Common Stock (1730) | Direct | ||
| Restricted Stock Units | $ | Common Stock (3324) | Direct | ||
| Restricted Stock Units | $ | Common Stock (1662) | Direct | ||
| Restricted Stock Units | $ | Common Stock (1699) | Direct | ||
| Restricted Stock Units | $ | Common Stock (1614) | Direct | ||
| Restricted Stock Units | $ | Common Stock (3198) | Direct |
Footnotes
F1: Each restricted stock unit represents a contingent right to receive one share of Common Stock uppn 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, 2018, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2017 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.
F3: 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.
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.
F5: On March 9, 2018, the Issuer granted 453 restricted stock units to the Reporting Person that vested in full on the date of the grant, and shares of common stock will distribute to the Reporting Person on the first anniversary of the date of the grant, or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer.
F6: Each restricted stock unit represents a contingent right to receive one share of Common Stock of the Issuer.