Dunson K. Cheng - 01 Apr 2022 Form 4 Insider Report for CATHAY GENERAL BANCORP (CATY)

Role
Executive Chairman, Director
Signature
/s/ Georgia Lo, attorney-in-fact
Issuer symbol
CATY
Transactions as of
01 Apr 2022
Net transactions value
-$654,177
Form type
4
Filing time
01 Apr 2022, 21:33:16 UTC
Previous filing
03 Mar 2022
Next filing
31 May 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CATY Common Stock Options Exercise $0 +8,531 +9% $0.000000 103,573 01 Apr 2022 Direct F1
transaction CATY Common Stock Tax liability $188,320 -4,230 -4.1% $44.52 99,343 01 Apr 2022 Direct
transaction CATY Common Stock Options Exercise $0 +10,383 +10% $0.000000 109,726 01 Apr 2022 Direct F2
transaction CATY Common Stock Tax liability $229,189 -5,148 -4.7% $44.52 104,578 01 Apr 2022 Direct
transaction CATY Common Stock Options Exercise $0 +10,722 +10% $0.000000 115,300 01 Apr 2022 Direct F3
transaction CATY Common Stock Tax liability $236,668 -5,316 -4.6% $44.52 109,984 01 Apr 2022 Direct
holding CATY Common Stock 395,577 01 Apr 2022 Husband & Wife Trust
holding CATY Common Stock 182,452 01 Apr 2022 Nonmarital Share Trust
holding CATY Common Stock 102,894 01 Apr 2022 By ESOP

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CATY Restricted Stock Units Options Exercise $0 -5,977 -100% $0.000000* 0 01 Apr 2022 Common Stock 0 Direct F1, F4, F5
transaction CATY Restricted Stock Units Options Exercise $0 -6,256 -100% $0.000000* 0 01 Apr 2022 Common Stock 0 Direct F2, F4, F5
transaction CATY Restricted Stock Units Options Exercise $0 -12,513 -100% $0.000000* 0 01 Apr 2022 Common Stock 0 Direct F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.