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CATHAY GENERAL BANCORP — Director's Dealing 2024
Apr 4, 2024
31304_dirs_2024-04-03_694953b3-9b4d-4366-a6ae-078ba0267aef.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: CHENG DUNSON K (Director, Executive Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-04-01 | Common Stock | M | 16837 | — | Acquired | 142381 | Direct |
| 2024-04-01 | Common Stock | F | 6838 | $36.91 | Disposed | 135543 | Direct |
| 2024-04-01 | Common Stock | M | 17891 | — | Acquired | 153434 | Direct |
| 2024-04-01 | Common Stock | F | 9068 | $36.91 | Disposed | 144366 | Direct |
| 2024-04-01 | Common Stock | M | 35689 | — | Acquired | 180055 | Direct |
| 2024-04-01 | Common Stock | F | 18088 | $36.91 | Disposed | 161967 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-04-01 | Restricted Stock Units | $ | M | 10226 | Disposed | Common Stock (0) | Direct | |
| 2024-04-01 | Restricted Stock Units | $ | M | 10866 | Disposed | Common Stock (0) | Direct | |
| 2024-04-01 | Restricted Stock Units | $ | M | 21733 | Disposed | Common Stock (0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 384577 | Indirect |
| Common Stock | 182452 | Indirect |
| Common Stock | 102891 | Indirect |
Footnotes
F1: Of the previously reported target award of 10,226 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 10,866 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 21,733 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.