0001437749-21-008284.txt : 20210405 0001437749-21-008284.hdr.sgml : 20210405 20210405182935 ACCESSION NUMBER: 0001437749-21-008284 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210401 FILED AS OF DATE: 20210405 DATE AS OF CHANGE: 20210405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CHENG DUNSON K CENTRAL INDEX KEY: 0001185628 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31830 FILM NUMBER: 21807228 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATHAY GENERAL BANCORP CENTRAL INDEX KEY: 0000861842 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 954274680 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 777 N BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 BUSINESS PHONE: 2136254700 MAIL ADDRESS: STREET 1: 777 NORTH BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 FORMER COMPANY: FORMER CONFORMED NAME: CATHAY BANCORP INC DATE OF NAME CHANGE: 19930328 4 1 rdgdoc.xml DUNSON CHENG X0306 4 2021-04-01 0000861842 CATHAY GENERAL BANCORP CATY 0001185628 CHENG DUNSON K 777 NORTH BROADWAY LOS ANGELES CA 90012 1 1 Executive Chairman Common Stock 405577 I Husband & Wife Trust Common Stock 182452 I Nonmarital Share Trust Common Stock 102896 I By ESOP Common Stock 2021-04-01 4 M 0 6875 0 A 86867 D Common Stock 2021-04-01 4 F 0 2378 41.48 D 84489 D Common Stock 2021-04-01 4 M 0 8423 0 A 92912 D Common Stock 2021-04-01 4 F 0 2958 41.48 D 89954 D Restricted Stock Units 2021-04-01 4 M 0 4094 0 D Common Stock 0 0 D Restricted Stock Units 2021-04-01 4 M 0 8171 0 D Common Stock 0 0 D Of the previously reported target award of 4,094 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. Of the previously reported target award of 8,171 shares of performance-based restricted stock units, 92.612% of the target award was earned based upon the achievement of certain performance criteria. Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 26, 2017. 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 28, 2017. Performance-based restricted stock units vested on December 31, 2020. Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on March 15, 2018. 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 March 19, 2018. /s/ Georgia Lo, attorney-in-fact 2021-04-05