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CATHAY GENERAL BANCORP — Director's Dealing 2019
Jan 3, 2019
31304_dirs_2019-01-03_dafea378-f6c3-4a9f-8ec8-d4e153b68a60.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: 2019-01-02
Reporting Person: Kim Lisa L. (EVP, General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-01-02 | Common Stock | M | 3413 | — | Acquired | 4218 | Direct |
| 2019-01-02 | Common Stock | F | 1396 | $33.53 | Disposed | 2822 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-01-02 | Restricted Stock Units | $ | M | 3951 | Disposed | Common Stock (3951) | 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 3 filed by the Reporting Person with the Securities and Exchange Commission on April 26, 2018.
F2: Of the previously reported target award of 3,951 shares of performance-based restricted stock units, 80% 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 the Registrant to satisfy tax withholding requirements on vesting of restricted stock units, based on closing price on December 31, 2018.