CATY

SEC source: 0001437749-22-005213 · rdgdoc.xml · nonDerivative · entry 2

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,950

F2 · kind: Shares withhold by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.

SEC source: 0001437749-22-005213 · rdgdoc.xml · nonDerivative · entry 1

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,866

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The Reporting Person previously reported the award of 2,486 restricted stock units, on Form 4 filed March 5, 2021. Such restricted stock units were fully vested and distributed on March 3, 2022.

SEC source: 0001437749-22-005207 · rdgdoc.xml · derivative · entry 9

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,214 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.

F3 · derivative.exercise_date: The Reporting Person previously reported the award of 4,214 restricted stock units, on Form 4 filed March 5, 2021. Such restricted stock units were vested in full and distributed on March 3, 2022.

F3 · derivative.expiration_date: The Reporting Person previously reported the award of 4,214 restricted stock units, on Form 4 filed March 5, 2021. Such restricted stock units were vested in full and distributed on March 3, 2022.

SEC source: 0001437749-22-005207 · rdgdoc.xml · nonDerivative · entry 7

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,042

F2 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.

SEC source: 0001437749-22-005207 · rdgdoc.xml · nonDerivative · entry 6

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · kind: The Reporting Person previously reported the award of 4,214 restricted stock units, on Form 4 filed March 5, 2021. Such restricted stock units were vested in full and distributed on March 3, 2022.

SEC source: 0001437749-22-005207 · rdgdoc.xml · derivative · entry 8

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,554 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.

F1 · derivative.expiration_date: On March 1, 2019, the Issuer awarded 10,664 restricted stock units to Reporting Person. The restricted stock units vest in three annual installments. The first installment of 3,555 restricted stock units vested on March 2, 2020, the second installment of 3,555 restricted stock units vested on March 1, 2021, and the last installment of 3,554 restricted stock units vested on March 1, 2022.

SEC source: 0001437749-22-005207 · rdgdoc.xml · nonDerivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,286

F2 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.

SEC source: 0001437749-22-005207 · rdgdoc.xml · nonDerivative · entry 4

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,508

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On March 1, 2019, the Issuer awarded 10,664 restricted stock units to Reporting Person. The restricted stock units vest in three annual installments. The first installment of 3,555 restricted stock units vested on March 2, 2020, the second installment of 3,555 restricted stock units vested on March 1, 2021, and the last installment of 3,554 restricted stock units vested on March 1, 2022.

SEC source: 0001437749-21-029361 · rdgdoc.xml · nonDerivative · entry 4

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Husband & Wife Trust

Disclosed balance after: 395,577

SEC source: 0001437749-22-002531 · rdgdoc.xml · nonDerivative · entry 8

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By ESOP

Disclosed balance after: 110,888.986

F2 · kind: ESOP DR earnings allocation.

SEC source: 0001437749-21-028324 · rdgdoc.xml · nonDerivative · entry 5

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,755

F1 · balance_after: On May 17, 2021, 2,075 shares of common stock of Cathay General Bancorp were transferred from direct ownership to the Kelly and Barbara Chan Living Trust as indirect ownership, without the payment of any consideration.

SEC source: 0001437749-22-002529 · rdgdoc.xml · nonDerivative · entry 4

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,451.38

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-22-002531 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 328,360.907

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-21-025358 · rdgdoc.xml · nonDerivative · entry 5

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Trustee - Daryl Michael Chan Living Trust

Disclosed balance after: 48,593

F1 · kind: On November 2, 2021, the Daryl Michael Chan Living Trust distributed 1,000 shares to a beneficiary. Such shares are no longer treated as an indirect holding of the reporting person as a result of this distribution.

SEC source: 0001437749-21-024948 · rdgdoc.xml · nonDerivative · entry 1

BINGHAM KIM R · CIK 0001301191 · EVP, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,526

SEC source: 0001437749-22-002531 · rdgdoc.xml · nonDerivative · entry 7

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By ESOP

Disclosed balance after: 110,888.986

F2 · kind: ESOP DR earnings allocation.

SEC source: 0001437749-22-002529 · rdgdoc.xml · nonDerivative · entry 3

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,451.38

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-22-002531 · rdgdoc.xml · nonDerivative · entry 3

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 328,360.907

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-21-021271 · rdgdoc.xml · nonDerivative · entry 1

WU PETER · CIK 0001186026 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · PACJU, LLC

Disclosed balance after: 395,252

SEC source: 0001437749-21-017598 · rdgdoc.xml · derivative · entry 4

Lee Mark Hakjoon · CIK 0001463314 · EVP, Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,291

Underlying: Common Stock · 4,291 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017598 · rdgdoc.xml · derivative · entry 3

Lee Mark Hakjoon · CIK 0001463314 · EVP, Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,145

Underlying: Common Stock · 2,145 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017598 · rdgdoc.xml · derivative · entry 2

Lee Mark Hakjoon · CIK 0001463314 · EVP, Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,019

Underlying: Common Stock · 2,019 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017596 · rdgdoc.xml · derivative · entry 4

BINGHAM KIM R · CIK 0001301191 · EVP, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,647

Underlying: Common Stock · 4,647 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017596 · rdgdoc.xml · derivative · entry 3

BINGHAM KIM R · CIK 0001301191 · EVP, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,323

Underlying: Common Stock · 2,323 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017596 · rdgdoc.xml · derivative · entry 2

BINGHAM KIM R · CIK 0001301191 · EVP, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,186

Underlying: Common Stock · 2,186 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017594 · rdgdoc.xml · derivative · entry 4

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,517

Underlying: Common Stock · 7,517 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017594 · rdgdoc.xml · derivative · entry 3

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,758

Underlying: Common Stock · 3,758 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017594 · rdgdoc.xml · derivative · entry 2

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,537

Underlying: Common Stock · 3,537 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017592 · rdgdoc.xml · derivative · entry 4

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,546

Underlying: Common Stock · 19,546 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017592 · rdgdoc.xml · derivative · entry 3

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,773

Underlying: Common Stock · 9,773 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017592 · rdgdoc.xml · derivative · entry 2

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,197

Underlying: Common Stock · 9,197 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017590 · rdgdoc.xml · derivative · entry 7

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,733

Underlying: Common Stock · 21,733 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017590 · rdgdoc.xml · derivative · entry 6

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,866

Underlying: Common Stock · 10,866 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-21-017590 · rdgdoc.xml · derivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,226

Underlying: Common Stock · 10,226 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-22-002531 · rdgdoc.xml · nonDerivative · entry 6

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By ESOP

Disclosed balance after: 110,888.986

F2 · kind: ESOP DR earnings allocation.

SEC source: 0001437749-22-002529 · rdgdoc.xml · nonDerivative · entry 2

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,451.38

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-22-002531 · rdgdoc.xml · nonDerivative · entry 2

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 328,360.907

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-21-009281 · rdgdoc.xml · nonDerivative · entry 5

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,930

F1 · shares: Grant of fully vested common stock of CATY.

SEC source: 0001437749-21-009279 · rdgdoc.xml · nonDerivative · entry 2

CHANG MICHAEL M Y · CIK 0001185627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,135

F1 · shares: Grant of fully vested common stock of CATY.

SEC source: 0001437749-21-009276 · rdgdoc.xml · nonDerivative · entry 4

CHUNG NELSON · CIK 0001326821 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,408

F1 · shares: Grant of fully vested common stock of CATY.

SEC source: 0001437749-21-009274 · rdgdoc.xml · nonDerivative · entry 2

FERNANDEZ FELIX S · CIK 0001564700 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,075

F1 · shares: Grant of fully vested common stock of CATY.

SEC source: 0001437749-21-009272 · rdgdoc.xml · nonDerivative · entry 3

Jelenko Jane H · CIK 0001534768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,075

F1 · shares: Grant of fully vested common stock of CATY.

SEC source: 0001437749-21-009270 · rdgdoc.xml · nonDerivative · entry 1

Hung Maan-Huei · CIK 0001812687 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,275

F1 · shares: Grant of fully vested common stock of CATY.

SEC source: 0001437749-21-009268 · rdgdoc.xml · nonDerivative · entry 2

POON JOSEPH C H · CIK 0001185632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,593

F1 · shares: Grant of fully vested common stock of CATY.

SEC source: 0001437749-21-009266 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,986

F3 · shares: Grant of fully vested common stock of CATY.

SEC source: 0001437749-21-009264 · rdgdoc.xml · nonDerivative · entry 3

WU PETER · CIK 0001186026 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,075

F1 · shares: Grant of fully vested common stock of CATY.

SEC source: 0001437749-21-009261 · rdgdoc.xml · nonDerivative · entry 8

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,075

F1 · shares: Grant of fully vested common stock of CATY.

SEC source: 0001437749-21-008288 · rdgdoc.xml · derivative · entry 6

BINGHAM KIM R · CIK 0001301191 · EVP, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 0 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: 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.

F2 · shares: Of the previously reported target award of 3,969 shares of performance-based restricted stock units, 92.612% of the target award was earned based upon the achievement of certain performance criteria.

F4 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2020.

F4 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2020.

SEC source: 0001437749-21-008288 · rdgdoc.xml · derivative · entry 5

BINGHAM KIM R · CIK 0001301191 · EVP, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 0 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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.

F1 · shares: Of the previously reported target award of 1,988 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F4 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2020.

F4 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2020.

SEC source: 0001437749-21-008288 · rdgdoc.xml · nonDerivative · entry 3

BINGHAM KIM R · CIK 0001301191 · EVP, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,941

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: Of the previously reported target award of 3,969 shares of performance-based restricted stock units, 92.612% of the target award was earned based upon the achievement of certain performance criteria.