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CATHAY GENERAL BANCORP — Director's Dealing 2022
Apr 2, 2022
31304_dirs_2022-04-01_fb3d23f2-cad0-4cf7-a4ce-1df8478b7e14.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: 2022-04-01
Reporting Person: CHENG DUNSON K (Director, Executive Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-04-01 | Common Stock | M | 8531 | — | Acquired | 103573 | Direct |
| 2022-04-01 | Common Stock | F | 4230 | $44.52 | Disposed | 99343 | Direct |
| 2022-04-01 | Common Stock | M | 10383 | — | Acquired | 109726 | Direct |
| 2022-04-01 | Common Stock | F | 5148 | $44.52 | Disposed | 104578 | Direct |
| 2022-04-01 | Common Stock | M | 10722 | — | Acquired | 115300 | Direct |
| 2022-04-01 | Common Stock | F | 5316 | $44.52 | Disposed | 109984 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-04-01 | Restricted Stock Units | $ | M | 5977 | Disposed | Common Stock (0) | Direct | |
| 2022-04-01 | Restricted Stock Units | $ | M | 6256 | Disposed | Common Stock (0) | Direct | |
| 2022-04-01 | Restricted Stock Units | $ | M | 12513 | Disposed | Common Stock (0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 395577 | Indirect |
| Common Stock | 182452 | Indirect |
| Common Stock | 102894 | Indirect |
Footnotes
F1: Of the previously reported target award of 5,977 shares of performance-based restricted stock units, 129% of the target award was earned based upon the achievement of certain performance criteria.
F2: Of the previously reported target award of 6,256 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 12,513 shares of performance-based restricted stock units, 77.443% 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 July 18, 2019. 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 July 22, 2019.
F5: Performance-based restricted stock units vested on January 31, 2022.