Mark Hakjoon Lee - 01 Apr 2022 Form 4 Insider Report for CATHAY GENERAL BANCORP (CATY)

Role
EVP, Chief Credit Officer
Signature
/s/ Georgia Lo, attorney-in-fact
Issuer symbol
CATY
Transactions as of
01 Apr 2022
Net transactions value
-$101,417
Form type
4
Filing time
01 Apr 2022, 21:38:10 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 +1,895 +45% $0.000000 6,096 01 Apr 2022 Direct F1
transaction CATY Common Stock Tax liability $29,205 -656 -11% $44.52 5,440 01 Apr 2022 Direct
transaction CATY Common Stock Options Exercise $0 +2,307 +42% $0.000000 7,747 01 Apr 2022 Direct F2
transaction CATY Common Stock Tax liability $35,527 -798 -10% $44.52 6,949 01 Apr 2022 Direct
transaction CATY Common Stock Options Exercise $0 +2,382 +34% $0.000000 9,331 01 Apr 2022 Direct F3
transaction CATY Common Stock Tax liability $36,684 -824 -8.8% $44.52 8,507 01 Apr 2022 Direct

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 -1,328 -100% $0.000000* 0 01 Apr 2022 Common Stock 0 Direct F1, F4, F5
transaction CATY Restricted Stock Units Options Exercise $0 -1,390 -100% $0.000000* 0 01 Apr 2022 Common Stock 0 Direct F2, F4, F5
transaction CATY Restricted Stock Units Options Exercise $0 -2,780 -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 1,328 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 1,390 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 2,780 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.