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CATHAY GENERAL BANCORP — Director's Dealing 2024
Apr 4, 2024
31304_dirs_2024-04-03_f77439af-61f4-443c-9b69-b784c8942121.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: Liu Chang (Director, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-04-01 | Common Stock | M | 15143 | — | Acquired | 71731 | Direct |
| 2024-04-01 | Common Stock | F | 7675 | $36.91 | Disposed | 64056 | Direct |
| 2024-04-01 | Common Stock | M | 16091 | — | Acquired | 80147 | Direct |
| 2024-04-01 | Common Stock | F | 8155 | $36.91 | Disposed | 71992 | Direct |
| 2024-04-01 | Common Stock | M | 32098 | — | Acquired | 104090 | Direct |
| 2024-04-01 | Common Stock | F | 16268 | $36.91 | Disposed | 87822 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-04-01 | Restricted Stock Units | $ | M | 9197 | Disposed | Common Stock (0) | Direct | |
| 2024-04-01 | Restricted Stock Units | $ | M | 9773 | Disposed | Common Stock (0) | Direct | |
| 2024-04-01 | Restricted Stock Units | $ | M | 19546 | Disposed | Common Stock (0) | Direct |
Footnotes
F1: Of the previously reported target award of 9,197 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 9,773 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 19,546 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.