Dunson K. Cheng - Apr 1, 2024 Form 4 Insider Report for CATHAY GENERAL BANCORP (CATY)

Role
Executive Chairman, Director
Signature
/s/ Georgia Lo, attorney-in-fact
Stock symbol
CATY
Transactions as of
Apr 1, 2024
Transactions value $
-$1,254,719
Form type
4
Date filed
4/3/2024, 07:52 PM
Previous filing
Jul 31, 2023
Next filing
Jul 2, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CATY Common Stock Options Exercise $0 +16.8K +13.41% $0.00 142K Apr 1, 2024 Direct F1
transaction CATY Common Stock Tax liability -$252K -6.84K -4.8% $36.91 136K Apr 1, 2024 Direct
transaction CATY Common Stock Options Exercise $0 +17.9K +13.2% $0.00 153K Apr 1, 2024 Direct F2
transaction CATY Common Stock Tax liability -$335K -9.07K -5.91% $36.91 144K Apr 1, 2024 Direct
transaction CATY Common Stock Options Exercise $0 +35.7K +24.72% $0.00 180K Apr 1, 2024 Direct F3
transaction CATY Common Stock Tax liability -$668K -18.1K -10.05% $36.91 162K Apr 1, 2024 Direct
holding CATY Common Stock 385K Apr 1, 2024 Husband & Wife Trust
holding CATY Common Stock 182K Apr 1, 2024 Nonmarital Share Trust
holding CATY Common Stock 103K Apr 1, 2024 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 -10.2K -100% $0.00* 0 Apr 1, 2024 Common Stock 0 Direct F1, F4, F5
transaction CATY Restricted Stock Units Options Exercise $0 -10.9K -100% $0.00* 0 Apr 1, 2024 Common Stock 0 Direct F2, F4, F5
transaction CATY Restricted Stock Units Options Exercise $0 -21.7K -100% $0.00* 0 Apr 1, 2024 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 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.