CATHAY GENERAL BANCORP — Director's Dealing 2020

Sep 18, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2020-09-16

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

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-16	Restricted Stock Units	$	A	11326	Acquired		Common Stock (11326)	Direct
2020-09-16	Restricted Stock Units	$	A	11722	Acquired		Common Stock (11722)	Direct
2020-09-16	Restricted Stock Units	$	A	23444	Acquired		Common Stock (23444)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	415577	Indirect
Common Stock	182452	Indirect
Common Stock	102898	Indirect
Common Stock	86558	Direct

Footnotes

F1: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon vesting. The number of restricted stock units that are earned can be reduced by up to 100% of the target award or increased by up to 150% of the target award, depending upon the achievement of certain performance criteria.

F2: These restricted stock units are scheduled to vest in a single installment on January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

F3: On December 9, 2019, the Dunson Cheng & Cynthia Cheng Trust donated 20,000 shares to charity.