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CATHAY GENERAL BANCORP — Director's Dealing 2020
Apr 3, 2020
31304_dirs_2020-04-03_02bfb92a-1687-48de-b1bc-948f68749d48.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: BINGHAM KIM R (EVP, Chief Risk Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-04-01 | Common Stock | M | 3729 | — | Acquired | 28998 | Direct |
| 2020-04-01 | Common Stock | M | 7219 | — | Acquired | 36217 | Direct |
| 2020-04-01 | Common Stock | M | 3609 | — | Acquired | 39826 | Direct |
| 2020-04-01 | Common Stock | F | 5035 | $21.68 | Disposed | 34791 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-04-01 | Restricted Stock Units | $ | M | 2284 | Disposed | Common Stock (0) | Direct | |
| 2020-04-01 | Restricted Stock Units | $ | M | 4388 | Disposed | Common Stock (0) | Direct | |
| 2020-04-01 | Restricted Stock Units | $ | M | 2194 | Disposed | Common Stock (0) | Direct |
Footnotes
F1: Of the previously reported target award of 2,284 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 4,388 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 2,194 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.