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CATHAY GENERAL BANCORP — Director's Dealing 2019
Mar 6, 2019
31304_dirs_2019-03-05_43689ec6-d149-4def-bf95-f824546b2254.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: 2019-03-01
Reporting Person: CHEN HENG W (EVP/CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-03-01 | Common Stock | M | 11917 | — | Acquired | 115164 | Direct |
| 2019-03-01 | Common Stock | F | 4121 | $38.36 | Disposed | 111043 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-03-01 | Restricted Stock Units | $ | M | 7396 | Disposed | Common Stock (7396) | 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 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 7,396 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.