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CATHAY GENERAL BANCORP — Director's Dealing 2020
Apr 3, 2020
31304_dirs_2020-04-03_779948c1-621e-4a01-bdd6-f3ab85ab5568.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: 2020-04-01
Reporting Person: WONG IRWIN (SEVP, Chief Admin Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-04-01 | Common Stock | M | 6613 | — | Acquired | 48508 | Direct |
| 2020-04-01 | Common Stock | M | 12799 | — | Acquired | 61307 | Direct |
| 2020-04-01 | Common Stock | M | 6398 | — | Acquired | 67705 | Direct |
| 2020-04-01 | Common Stock | F | 8926 | $21.68 | Disposed | 58779 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-04-01 | Restricted Stock Units | $ | M | 4050 | Disposed | Common Stock (0) | Direct | |
| 2020-04-01 | Restricted Stock Units | $ | M | 7779 | Disposed | Common Stock (0) | Direct | |
| 2020-04-01 | Restricted Stock Units | $ | M | 3889 | Disposed | Common Stock (0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 19616 | Indirect |
Footnotes
F1: Includes 280.857 shares acquired through dividend reinvestment year-to-date.
F2: Includes 88.236 shares acquired through dividend reinvestment year-to-date.
F3: Of the previously reported target award of 4,050 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria.
F4: Of the previously reported target award of 7,779 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
F5: Of the previously reported target award of 3,889 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
F6: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.
F7: 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.
F8: Performance-based restricted stock units vested on December 31, 2019.