CATHAY GENERAL BANCORP — Director's Dealing 2021

Apr 6, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATHAY GENERAL BANCORP (CATY)
CIK: 0000861842
Period of Report: 2021-04-01

Reporting Person: BINGHAM KIM R (EVP, Chief Risk Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-04-01	Common Stock	M	3338	—	Acquired	34005	Direct
2021-03-15	Common Stock	F	1155	$41.48	Disposed	32850	Direct
2021-04-01	Common Stock	M	4091	—	Acquired	36941	Direct
2021-03-15	Common Stock	F	1415	$41.48	Disposed	35526	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-04-01	Restricted Stock Units	$	M	1988	Disposed		Common Stock (0)	Direct
2021-04-01	Restricted Stock Units	$	M	3969	Disposed		Common Stock (0)	Direct

Footnotes

F1: Of the previously reported target award of 1,988 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F2: Of the previously reported target award of 3,969 shares of performance-based restricted stock units, 92.612% of the target award was earned based upon the achievement of certain performance criteria.

F3: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 26, 2017. 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 28, 2017.

F4: Performance-based restricted stock units vested on December 31, 2020.

F5: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on March 15, 2018. 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 March 19, 2018.