Dunson K. Cheng - Apr 1, 2022 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, 2022
Transactions value $: -$654,177
Form type: 4
Date filed: 4/1/2022, 09:33 PM
Previous filing: Mar 3, 2022
Next filing: May 31, 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	+8.53K	+8.98%	$0.00	104K	Apr 1, 2022	Direct	F1
transaction	CATY	Common Stock	Tax liability	-$188K	-4.23K	-4.08%	$44.52	99.3K	Apr 1, 2022	Direct
transaction	CATY	Common Stock	Options Exercise	$0	+10.4K	+10.45%	$0.00	110K	Apr 1, 2022	Direct	F2
transaction	CATY	Common Stock	Tax liability	-$229K	-5.15K	-4.69%	$44.52	105K	Apr 1, 2022	Direct
transaction	CATY	Common Stock	Options Exercise	$0	+10.7K	+10.25%	$0.00	115K	Apr 1, 2022	Direct	F3
transaction	CATY	Common Stock	Tax liability	-$237K	-5.32K	-4.61%	$44.52	110K	Apr 1, 2022	Direct
holding	CATY	Common Stock						396K	Apr 1, 2022	Husband & Wife Trust
holding	CATY	Common Stock						182K	Apr 1, 2022	Nonmarital Share Trust
holding	CATY	Common Stock						103K	Apr 1, 2022	By ESOP

Showing 1 to 9 of 9 entries

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	-5.98K	-100%	$0.00^*	0	Apr 1, 2022	Common Stock	0		Direct	F1, F4, F5
transaction	CATY	Restricted Stock Units	Options Exercise	$0	-6.26K	-100%	$0.00^*	0	Apr 1, 2022	Common Stock	0		Direct	F2, F4, F5
transaction	CATY	Restricted Stock Units	Options Exercise	$0	-12.5K	-100%	$0.00^*	0	Apr 1, 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.