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CATHAY GENERAL BANCORP — Director's Dealing 2023
Apr 5, 2023
31304_dirs_2023-04-05_99b5df8d-35c1-4b52-b053-b47b0d53d9e3.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: 2023-04-03
Reporting Person: BINGHAM KIM R (EVP, Chief Risk Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-04-03 | Common Stock | M | 4812 | — | Acquired | 39696 | Direct |
| 2023-04-03 | Common Stock | F | 1664 | $34.21 | Disposed | 38032 | Direct |
| 2023-04-03 | Common Stock | M | 5009 | — | Acquired | 43041 | Direct |
| 2023-04-03 | Common Stock | F | 1733 | $34.21 | Disposed | 41308 | Direct |
| 2023-04-03 | Common Stock | M | 10020 | — | Acquired | 51328 | Direct |
| 2023-04-03 | Common Stock | F | 3479 | $34.21 | Disposed | 47849 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-04-03 | Restricted Stock Units | $ | M | 2975 | Disposed | Common Stock (0) | Direct | |
| 2023-04-03 | Restricted Stock Units | $ | M | 3079 | Disposed | Common Stock (0) | Direct | |
| 2023-04-03 | Restricted Stock Units | $ | M | 6159 | Disposed | Common Stock (0) | Direct |
Footnotes
F1: Of the previously reported target award of 2,975 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria.
F2: Of the previously reported target award of 3,079 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 6,159 shares of performance-based restricted stock units, 150% 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 September 16, 2020. 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 September 18, 2020.
F5: Performance-based restricted stock units vested on January 31, 2023.