CATHAY GENERAL BANCORP — Director's Dealing 2019

Jan 3, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2019-01-02

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-01-02	Common Stock	M	17374	—	Acquired	48202	Direct
2019-01-02	Common Stock	F	6236	$33.53	Disposed	41966	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-01-02	Restricted Stock Units	$	M	20111	Disposed		Common Stock (20111)	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 20,111 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.