Chang Liu - 03 Apr 2023 Form 4 Insider Report for CATHAY GENERAL BANCORP (CATY)

Role
President & CEO, Director
Signature
/s/ Georgia Lo, attorney-in-fact
Issuer symbol
CATY
Transactions as of
03 Apr 2023
Net transactions value
-$1,385,984
Form type
4
Filing time
05 Apr 2023, 17:17:02 UTC
Previous filing
01 Feb 2023
Next filing
31 Jul 2023
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 +19,819 +129% $0.000000 35,211 03 Apr 2023 Direct F1
transaction CATY Common Stock Tax liability $336,182 -9,827 -28% $34.21 25,384 03 Apr 2023 Direct
transaction CATY Common Stock Options Exercise $0 +20,630 +81% $0.000000 46,014 03 Apr 2023 Direct F2
transaction CATY Common Stock Tax liability $349,934 -10,229 -22% $34.21 35,785 03 Apr 2023 Direct
transaction CATY Common Stock Options Exercise $0 +41,261 +115% $0.000000 77,046 03 Apr 2023 Direct F3
transaction CATY Common Stock Tax liability $699,868 -20,458 -27% $34.21 56,588 03 Apr 2023 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 -12,252 -100% $0.000000* 0 03 Apr 2023 Common Stock 0 Direct F1, F4, F5
transaction CATY Restricted Stock Units Options Exercise $0 -12,681 -100% $0.000000* 0 03 Apr 2023 Common Stock 0 Direct F2, F4, F5
transaction CATY Restricted Stock Units Options Exercise $0 -25,362 -100% $0.000000* 0 03 Apr 2023 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 12,252 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria.
F2 Of the previously reported target award of 12,681 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 25,362 shares of performance-based restricted stock units, 150% 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 September 16, 2020. 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 September 18, 2020.
F5 Performance-based restricted stock units vested on January 31, 2023.