SEC Form 4 · accession 0001437749-17-002980

CATHAY GENERAL BANCORP · CATY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CEO & President

Period of report

Feb 17, 2017

Accepted (ET)

Feb 22, 2017 · 4:15 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000861842

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Feb 17, 2017	M	12,110	$0.00	A	14,012	D
Common Stock	Feb 17, 2017	F	4,606	$39.42	D	9,406	D
Common Stock	Feb 17, 2017	M	16,564	$0.00	A	25,970	D
Common Stock	Feb 17, 2017	F	6,708	$39.42	D	19,262	D
Common Stock	holding	—	—		—	845	I	By ESOP

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F3,F1,F5	—	Feb 17, 2017	M	10,805	D	—	—	Common Stock	10,805	0	D
Restricted Stock Units^F4,F1,F5	—	Feb 17, 2017	M	10,476	D	—	—	Common Stock	10,476	0	D

F1Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. 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 December 20, 2013.
F2Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units.
F3Of the previously reported target award of 10,805 shares of restricted stock unit, 106% of the target award was earned based upon the achievement of certain performance criteria.
F4Of the previously reported target award of 10,476 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
F5Performance-based restricted stock units vested on December 31, 2016.