0001437749-23-009562.txt : 20230405 0001437749-23-009562.hdr.sgml : 20230405 20230405172044 ACCESSION NUMBER: 0001437749-23-009562 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230403 FILED AS OF DATE: 20230405 DATE AS OF CHANGE: 20230405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CHEN HENG W CENTRAL INDEX KEY: 0001207193 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31830 FILM NUMBER: 23803538 MAIL ADDRESS: STREET 1: C/O CATHAY BANCORP, INC. STREET 2: 777 NORTH BROADWAY CITY: LOS ANGELES STATE: CA ZIP: 90012 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 HENG CHEN X0407 4 2023-04-03 0000861842 CATHAY GENERAL BANCORP CATY 0001207193 CHEN HENG W 777 NORTH BROADWAY LOS ANGELES CA 90012 1 EVP/CFO 0 Common Stock 2023-04-03 4 M 0 7793 0 A 155308 D Common Stock 2023-04-03 4 F 0 2695 34.21 D 152613 D Common Stock 2023-04-03 4 M 0 8113 0 A 160726 D Common Stock 2023-04-03 4 F 0 3004 34.21 D 157722 D Common Stock 2023-04-03 4 M 0 16226 0 A 173948 D Common Stock 2023-04-03 4 F 0 8045 34.21 D 165903 D Common Stock 100 I Chen Trust Restricted Stock Units 2023-04-03 4 M 0 4818 0 D Common Stock 0 0 D Restricted Stock Units 2023-04-03 4 M 0 4987 0 D Common Stock 0 0 D Restricted Stock Units 2023-04-03 4 M 0 9974 0 D Common Stock 0 0 D 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. 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. 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. 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. Performance-based restricted stock units vested on January 31, 2023. /s/ Georgia Lo, attorney-in-fact 2023-04-05