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CATHAY GENERAL BANCORP — Director's Dealing 2024
Apr 4, 2024
31304_dirs_2024-04-03_67316759-0186-4636-ba24-204d6d00d1a3.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: 2024-04-01
Reporting Person: CHEN HENG W (EVP/CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-04-01 | Common Stock | M | 5823 | — | Acquired | 171726 | Direct |
| 2024-04-01 | Common Stock | F | 2078 | $36.91 | Disposed | 169648 | Direct |
| 2024-04-01 | Common Stock | M | 6187 | — | Acquired | 175835 | Direct |
| 2024-04-01 | Common Stock | F | 2208 | $36.91 | Disposed | 173627 | Direct |
| 2024-04-01 | Common Stock | M | 12344 | — | Acquired | 185971 | Direct |
| 2024-04-01 | Common Stock | F | 5483 | $36.91 | Disposed | 180488 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-04-01 | Restricted Stock Units | $ | M | 3537 | Disposed | Common Stock (0) | Direct | |
| 2024-04-01 | Restricted Stock Units | $ | M | 3758 | Disposed | Common Stock (0) | Direct | |
| 2024-04-01 | Restricted Stock Units | $ | M | 7517 | Disposed | Common Stock (0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 100 | Indirect |
Footnotes
F1: Of the previously reported target award of 3,537 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 3,758 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 7,517 shares of performance-based restricted stock units, 149.602% 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 22, 2021. 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 26, 2021.
F5: Performance-based restricted stock units vested on December 31, 2023.