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CATHAY GENERAL BANCORP — Director's Dealing 2021
Apr 6, 2021
31304_dirs_2021-04-05_1c980779-778b-4447-b565-8e9ed0672239.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: CHEN HENG W (EVP/CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-04-01 | Common Stock | M | 5402 | — | Acquired | 132920 | Direct |
| 2021-04-01 | Common Stock | F | 1869 | $41.48 | Disposed | 131051 | Direct |
| 2021-04-01 | Common Stock | M | 6618 | — | Acquired | 137669 | Direct |
| 2021-04-01 | Common Stock | F | 2289 | $41.48 | Disposed | 135380 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-04-01 | Restricted Stock Units | $ | M | 3217 | Disposed | Common Stock (0) | Direct | |
| 2021-04-01 | Restricted Stock Units | $ | M | 6420 | Disposed | Common Stock (0) | Direct |
Footnotes
F1: Of the previously reported target award of 3,217 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 6,420 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.