CATHAY GENERAL BANCORP — Director's Dealing 2020

Mar 5, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2020-03-02

Reporting Person: Tai Pin (Director, CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-03-02	Common Stock	M	1673	—	Acquired	53396	Direct
2020-03-02	Common Stock	M	2718	—	Acquired	56114	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-03-02	Restricted Stock Units	$	M	1673	Disposed		Common Stock (1673)	Direct
2020-03-02	Restricted Stock Units	$	M	2718	Disposed		Common Stock (2718)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	912	Indirect

Footnotes

F1: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.

F2: On March 1, 2018, the Issuer awarded 5,021 restricted stock units to Reporting Person. The restricted stock units vest in three annual installments. The first installment of 1,675 restricted stock units vested on March 1, 2019, the second installment of 1,673 restricted stock units vested on March 2, 2020, and the last installment of 1,673 restricted stock units will vest on March 1, 2021, or earlier in the event of death, disability, retirement, or change in control.

F3: On March 1, 2019, the Issuer awarded 8,154 restricted stock units to Reporting Person. The restricted stock units vest in three annual installments. The first installment of 2,718 restricted stock units vested on March 2, 2020, and, subject to continued employment, the second installment of 2,718 restricted stock units will vest on March 1, 2021, and the last installment of 2,718 restricted stock units will vest on March 1, 2022, or earlier in the event of death, disability, retirement, or change in control.