0001437749-23-021249.txt : 20230731 0001437749-23-021249.hdr.sgml : 20230731 20230731203545 ACCESSION NUMBER: 0001437749-23-021249 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230727 FILED AS OF DATE: 20230731 DATE AS OF CHANGE: 20230731 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: 231129222 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 X0508 4 2023-07-27 0000861842 CATHAY GENERAL BANCORP CATY 0001185628 CHENG DUNSON K 777 NORTH BROADWAY LOS ANGELES CA 90012 1 1 Executive Chairman 0 Common Stock 384577 I Husband & Wife Trust Common Stock 182452 I Nonmarital Share Trust Common Stock 102893 I By ESOP Common Stock 125544 D Restricted Stock Units 2023-07-27 4 A 0 9997 A Common Stock 9997 9997 D Restricted Stock Units 2023-07-27 4 A 0 10466 A Common Stock 10466 10466 D Restricted Stock Units 2023-07-27 4 A 0 20932 A Common Stock 20932 20932 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, 2025, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2024 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 2023-07-31