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CATHAY GENERAL BANCORP — Director's Dealing 2020
Apr 3, 2020
31304_dirs_2020-04-03_2a503585-d432-4810-91e2-ca472a8f6efb.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: Tai Pin (Director, CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-04-01 | Common Stock | M | 16957 | — | Acquired | 74368 | Direct |
| 2020-04-01 | Common Stock | M | 32818 | — | Acquired | 107186 | Direct |
| 2020-04-01 | Common Stock | M | 16409 | — | Acquired | 123595 | Direct |
| 2020-04-01 | Common Stock | F | 30355 | $21.68 | Disposed | 93240 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-04-01 | Restricted Stock Units | $ | M | 10384 | Disposed | Common Stock (0) | Direct | |
| 2020-04-01 | Restricted Stock Units | $ | M | 19946 | Disposed | Common Stock (0) | Direct | |
| 2020-04-01 | Restricted Stock Units | $ | M | 9973 | Disposed | Common Stock (0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 925 | Indirect |
Footnotes
F1: Includes 13.244 shares acquired through dividend reinvestment year-to-date.
F2: Of the previously reported target award of 10,384 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria.
F3: Of the previously reported target award of 19,946 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
F4: Of the previously reported target award of 9,973 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
F5: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.
F6: 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.
F7: Performance-based restricted stock units vested on December 31, 2019.