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CATHAY GENERAL BANCORP — Director's Dealing 2021
Apr 6, 2021
31304_dirs_2021-04-05_0ca540d4-0500-42b8-a173-56d4908f93e0.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: 2021-04-01
Reporting Person: CHENG DUNSON K (Director, Executive Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-04-01 | Common Stock | M | 6875 | — | Acquired | 86867 | Direct |
| 2021-04-01 | Common Stock | F | 2378 | $41.48 | Disposed | 84489 | Direct |
| 2021-04-01 | Common Stock | M | 8423 | — | Acquired | 92912 | Direct |
| 2021-04-01 | Common Stock | F | 2958 | $41.48 | Disposed | 89954 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-04-01 | Restricted Stock Units | $ | M | 4094 | Disposed | Common Stock (0) | Direct | |
| 2021-04-01 | Restricted Stock Units | $ | M | 8171 | Disposed | Common Stock (0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 405577 | Indirect |
| Common Stock | 182452 | Indirect |
| Common Stock | 102896 | Indirect |
Footnotes
F1: Of the previously reported target award of 4,094 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 8,171 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.