0001437749-21-017598.txt : 20210726 0001437749-21-017598.hdr.sgml : 20210726 20210726191855 ACCESSION NUMBER: 0001437749-21-017598 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210722 FILED AS OF DATE: 20210726 DATE AS OF CHANGE: 20210726 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lee Mark Hakjoon CENTRAL INDEX KEY: 0001463314 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31830 FILM NUMBER: 211115503 MAIL ADDRESS: STREET 1: CATHAY GENERAL BANCORP STREET 2: 9650 FLAIR DRIVE CITY: EL MONTE STATE: CA ZIP: 91731 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 MARK LEE X0306 4 2021-07-22 0000861842 CATHAY GENERAL BANCORP CATY 0001463314 Lee Mark Hakjoon 777 NORTH BROADWAY LOS ANGELES CA 90012 1 EVP, Chief Credit Officer Common Stock 3257 D Restricted Stock Units 2021-07-22 4 A 0 2019 A Common Stock 2019 2019 D Restricted Stock Units 2021-07-22 4 A 0 2145 A Common Stock 2145 2145 D Restricted Stock Units 2021-07-22 4 A 0 4291 A Common Stock 4291 4291 D Each restricted stock unit represented a contingent right to receive one share of Common Stock upon vesting. The number of restricted stock units that are earned can be reduced by up to 100% of the target award or increased by up to 150% of the target award, depending upon the achievement of certain performance criteria. These restricted stock units are scheduled to vest in a single installment on December 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2022 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. /s/ Georgia Lo, attorney-in-fact 2021-07-26