Form 4 for CATY CATHAY GENERAL BANCORP
Accepted 2022-04-01 00:00:00 ET · period of report 2022-04-01 · accession 0001437749-22-008109 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-04-01 | 2022-04-01 | CATY | Lee Mark Hakjoon | EVP, Chief Credit Off | M - OptEx | $0.00 | +6,584 | 7,747 | +566% | $0 |
| DM | 2022-04-01 | 2022-04-01 | CATY | Lee Mark Hakjoon | EVP, Chief Credit Off | F - Tax | $44.52 | -2,278 | 6,949 | -25% | -$101.4K |
| DM | 2022-04-01 | 2022-04-01 | CATY | Lee Mark Hakjoon | EVP, Chief Credit Off | M - OptEx | $0.00 | -5,498 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-04-01 | M | A | 1,895 | $0.00 | 6,096 | D | — | — | (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. |
| 2 | Common | Common Stock | 2022-04-01 | F | D | 824 | $44.52 | 8,507 | D | — | — | |
| 3 | Common | Common Stock | 2022-04-01 | M | A | 2,382 | $0.00 | 9,331 | D | — | — | (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. |
| 4 | Common | Common Stock | 2022-04-01 | M | A | 2,307 | $0.00 | 7,747 | D | — | — | (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. |
| 5 | Common | Common Stock | 2022-04-01 | F | D | 656 | $44.52 | 5,440 | D | — | — | |
| 6 | Common | Common Stock | 2022-04-01 | F | D | 798 | $44.52 | 6,949 | D | — | — | |
| 7 | Derivative | Restricted Stock Units | 2022-04-01 | M | D | 1,328 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (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. (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. |
| 8 | Derivative | Restricted Stock Units | 2022-04-01 | M | D | 1,390 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (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. (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. |
| 9 | Derivative | Restricted Stock Units | 2022-04-01 | M | D | 2,780 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (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. |