CATHAY GENERAL BANCORP — Director's Dealing 2020

Apr 3, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2020-04-01

Reporting Person: Kim Lisa L. (EVP, General Counsel)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-04-01	Common Stock	M	2825	—	Acquired	3253	Direct
2020-04-01	Common Stock	M	5469	—	Acquired	8722	Direct
2020-04-01	Common Stock	M	2734	—	Acquired	11456	Direct
2020-04-01	Common Stock	F	3815	$21.68	Disposed	7641	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-04-01	Restricted Stock Units	$	M	1730	Disposed		Common Stock (0)	Direct
2020-04-01	Restricted Stock Units	$	M	3324	Disposed		Common Stock (0)	Direct
2020-04-01	Restricted Stock Units	$	M	1662	Disposed		Common Stock (0)	Direct

Footnotes

F1: Of the previously reported target award of 1,730 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria.

F2: Of the previously reported target award of 3,324 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F3: Of the previously reported target award of 1,662 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

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

F5: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 15, 2016. 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 19, 2016.

F6: Performance-based restricted stock units vested on December 31, 2019.