Form 4 for CATY CATHAY GENERAL BANCORP
Accepted 2024-04-03 00:00:00 ET · period of report 2024-04-01 · accession 0001437749-24-010963 · 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 | 2024-04-03 | 2024-04-01 | CATY | CHEN HENG W | EVP, CFO | M - OptEx | $0.00 | +24.4K | 175.8K | +16% | $0 |
| DM | 2024-04-03 | 2024-04-01 | CATY | CHEN HENG W | EVP, CFO | F - Tax | $36.91 | -9,769 | 173.6K | -5% | -$360.6K |
| DM | 2024-04-03 | 2024-04-01 | CATY | CHEN HENG W | EVP, CFO | M - OptEx | $0.00 | -14.8K | 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 | 2024-04-01 | M | A | 5,823 | $0.00 | 171,726 | D | — | — | (F1) Of the previously reported target award of 3,537 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 | 2024-04-01 | F | D | 2,078 | $36.91 | 169,648 | D | — | — | |
| 3 | Common | Common Stock | 2024-04-01 | F | D | 5,483 | $36.91 | 180,488 | D | — | — | |
| 4 | Common | Common Stock | 2024-04-01 | F | D | 2,208 | $36.91 | 173,627 | D | — | — | |
| 5 | Common | Common Stock | 2024-04-01 | M | A | 12,344 | $0.00 | 185,971 | D | — | — | (F3) Of the previously reported target award of 7,517 shares of performance-based restricted stock units, 149.602% of the target award was earned based upon the achievement of certain performance criteria. |
| 6 | Common | Common Stock | 2024-04-01 | M | A | 6,187 | $0.00 | 175,835 | D | — | — | (F2) Of the previously reported target award of 3,758 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. |
| 7 | Derivative | Restricted Stock Units | 2024-04-01 | M | D | 3,758 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (F2) Of the previously reported target award of 3,758 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 22, 2021. 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 26, 2021. (F5) Performance-based restricted stock units vested on December 31, 2023. |
| 8 | Derivative | Restricted Stock Units | 2024-04-01 | M | D | 3,537 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (F1) Of the previously reported target award of 3,537 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 22, 2021. 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 26, 2021. (F5) Performance-based restricted stock units vested on December 31, 2023. |
| 9 | Derivative | Restricted Stock Units | 2024-04-01 | M | D | 7,517 | $0.00 | 0 | D | — · — to — | 0 Common Stock | (F3) Of the previously reported target award of 7,517 shares of performance-based restricted stock units, 149.602% 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 22, 2021. 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 26, 2021. (F5) Performance-based restricted stock units vested on December 31, 2023. |