Form 4 for CATY CATHAY GENERAL BANCORP
Accepted 2023-04-05 00:00:00 ET · period of report 2023-04-03 · accession 0001437749-23-009562 · 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 | 2023-04-05 | 2023-04-03 | CATY | CHEN HENG W | EVP, CFO | F - Tax | $34.21 | -13.7K | 157.7K | -8% | -$470.2K |
| DM | 2023-04-05 | 2023-04-03 | CATY | CHEN HENG W | EVP, CFO | M - OptEx | $0.00 | +32.1K | 155.3K | +26% | $0 |
| DM | 2023-04-05 | 2023-04-03 | CATY | CHEN HENG W | EVP, CFO | M - OptEx | $0.00 | -19.8K | 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 | 2023-04-03 | F | D | 2,695 | $34.21 | 152,613 | D | — | — | |
| 2 | Common | Common Stock | 2023-04-03 | M | A | 8,113 | $0.00 | 160,726 | D | — | — | (F2) Of the previously reported target award of 4,987 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. |
| 3 | Common | Common Stock | 2023-04-03 | M | A | 16,226 | $0.00 | 173,948 | D | — | — | (F3) Of the previously reported target award of 9,974 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. |
| 4 | Common | Common Stock | 2023-04-03 | F | D | 8,045 | $34.21 | 165,903 | D | — | — | |
| 5 | Common | Common Stock | 2023-04-03 | M | A | 7,793 | $0.00 | 155,308 | D | — | — | (F1) Of the previously reported target award of 4,818 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria. |
| 6 | Common | Common Stock | 2023-04-03 | F | D | 3,004 | $34.21 | 157,722 | D | — | — | |
| 7 | Derivative | Restricted Stock Units | 2023-04-03 | M | D | 9,974 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (F3) Of the previously reported target award of 9,974 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. |
| 8 | Derivative | Restricted Stock Units | 2023-04-03 | M | D | 4,987 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (F2) Of the previously reported target award of 4,987 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. |
| 9 | Derivative | Restricted Stock Units | 2023-04-03 | M | D | 4,818 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (F1) Of the previously reported target award of 4,818 shares of performance-based restricted stock units, 148% 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. |