Form 4 for CATY CATHAY GENERAL BANCORP
Accepted 2023-04-05 00:00:00 ET · period of report 2023-04-03 · accession 0001437749-23-009568 · 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 | Lee Mark Hakjoon | EVP, Chief Credit Off | M - OptEx | $0.00 | +13.0K | 11.7K | New | $0 |
| DM | 2023-04-05 | 2023-04-03 | CATY | Lee Mark Hakjoon | EVP, Chief Credit Off | F - Tax | $34.21 | -4,512 | 12.7K | -26% | -$154.4K |
| DM | 2023-04-05 | 2023-04-03 | CATY | Lee Mark Hakjoon | EVP, Chief Credit Off | M - OptEx | $0.00 | -8,029 | 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 | M | A | 3,292 | $0.00 | 13,868 | D | — | — | (F2) Of the previously reported target award of 2,024 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. |
| 2 | Common | Common Stock | 2023-04-03 | M | A | 6,587 | $0.00 | 19,316 | D | — | — | (F3) Of the previously reported target award of 4,049 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 | F | D | 2,278 | $34.21 | 17,038 | D | — | — | |
| 4 | Common | Common Stock | 2023-04-03 | F | D | 1,095 | $34.21 | 10,576 | D | — | — | |
| 5 | Common | Common Stock | 2023-04-03 | M | A | 3,164 | $0.00 | 11,671 | D | — | — | (F1) Of the previously reported target award of 1,956 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 | 1,139 | $34.21 | 12,729 | D | — | — | |
| 7 | Derivative | Restricted Stock Units | 2023-04-03 | M | D | 1,956 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (F1) Of the previously reported target award of 1,956 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. |
| 8 | Derivative | Restricted Stock Units | 2023-04-03 | M | D | 4,049 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (F3) Of the previously reported target award of 4,049 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 | 2,024 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (F2) Of the previously reported target award of 2,024 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. |