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CATHAY GENERAL BANCORP — Director's Dealing 2018
Jan 4, 2018
31304_dirs_2018-01-03_b2948476-5018-4f3d-846d-4e7a17a092a4.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: 2018-01-02
Reporting Person: Tai Pin (CEO & President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-01-02 | Common Stock | M | 12261 | — | Acquired | 31523 | Direct |
| 2018-01-02 | Common Stock | F | 4782 | $42.64 | Disposed | 26741 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-01-02 | Restricted Stock Units | $ | M | 7629 | Disposed | Common Stock (7629) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 863.41 | 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, 2014. 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 24, 2014.
F2: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units.
F3: Of this previously reported target award of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
F4: Performance-based restricted stock units vested on December 31, 2017.
F5: Includes 18.858 shares acquired through dividend reinvestment year-to-date