CATHAY GENERAL BANCORP — Director's Dealing 2019

Mar 6, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2019-03-01

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-03-01	Common Stock	M	30392	—	Acquired	72753	Direct
2019-03-01	Common Stock	F	13437	$38.36	Disposed	59316	Direct
2019-03-01	Common Stock	M	2013	—	Acquired	61329	Direct
2019-03-01	Common Stock	F	999	$38.36	Disposed	60330	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-03-01	Restricted Stock Units	$	M	18862	Disposed		Common Stock (18862)	Direct
2019-03-01	Restricted Stock Units	$	M	2013	Disposed		Common Stock (2013)	Direct
2019-03-01	Restricted Stock Units	$	A	10664	Acquired		Common Stock (10664)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	435577	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 17, 2015. 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 21, 2015.

F2: Of the previously reported target award of 18,862 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F3: Performance-based restricted stock units vested on December 31, 2018.

F4: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.

F5: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.

F6: Reporting Person was granted 6,038 restricted stock units on March 1, 2018, with a vesting schedule of 3 annual equal installments beginning March 1, 2019, or earlier in the event of death, disability, retirement, or change in control.

F7: These restricted stock units are scheduled to vest in 3 annual equal installments beginning March 1, 2020, or earlier in the event of death, disability, retirement, or change in control.