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CATHAY GENERAL BANCORP — Director's Dealing 2018
Feb 28, 2018
31304_dirs_2018-02-28_c71b056a-b974-4ec1-9647-e7dc39163694.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2017-02-17
Reporting Person: WONG IRWIN (SEVP, Chief Operating Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-17 | Common Stock | M | 11010 | — | Acquired | 40804.89 | Direct |
| 2017-02-17 | Common Stock | F | 4247 | $39.42 | Disposed | 36557.89 | Direct |
| 2017-02-17 | Common Stock | M | 15057 | — | Acquired | 51614.89 | Direct |
| 2017-02-17 | Common Stock | F | 5761 | $39.42 | Disposed | 45853.89 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-02-17 | Restricted Stock Units | $ | M | 9823 | Disposed | Common Stock (9823) | Direct | |
| 2017-02-17 | Restricted Stock Units | $ | M | 9523 | Disposed | Common Stock (9523) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 17818.78 | 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 9,823 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 9,523 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.
F6: The Reporting Person files this amendment to his Form 4 originally filed with the SEC on February 22, 2017 (the "Original Filing"), solely to correct the transaction date for the transaction reported on the first line of Table I, which was inadvertently disclosed in the Original Filing as occurring on 2/17/2002 rather than 2/17/2017.