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: CHENG DUNSON K (Director, Executive Chairman)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-04-01	Common Stock	M	9891	—	Acquired	57844	Direct
2020-04-01	Common Stock	M	19143	—	Acquired	76987	Direct
2020-04-01	Common Stock	M	9571	—	Acquired	86558	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-04-01	Restricted Stock Units	$	M	6057	Disposed		Common Stock (0)	Direct
2020-04-01	Restricted Stock Units	$	M	11635	Disposed		Common Stock (0)	Direct
2020-04-01	Restricted Stock Units	$	M	5817	Disposed		Common Stock (0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	435577	Indirect
Common Stock	182452	Indirect
Common Stock	102898	Indirect

Footnotes

F1: Of the previously reported target award of 6,057 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 11,635 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 5,817 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F4: 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.

F5: Performance-based restricted stock units vested on December 31, 2019.