CATY

SEC source: 0001437749-20-024943 · rdgdoc.xml · nonDerivative · entry 5

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,855

F1 · balance_after: On April 15, 2019 and May 27, 2020, 2,116 and 3,111 shares of common stock of Cathay General Bancorp respectively were transferred from direct ownership to Kelly & Barbara Chan Living Trust as indirect ownership, without the payment of any consideration.

SEC source: 0001437749-20-024942 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,911

SEC source: 0001437749-20-024785 · rdgdoc.xml · nonDerivative · entry 1

Jelenko Jane H · CIK 0001534768 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Jelenko-Norris Marital Trust

Disclosed balance after: 2,116

SEC source: 0001437749-20-024521 · rdgdoc.xml · nonDerivative · entry 2

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,754

F2 · balance_after: Includes 244.591 shares acquired through dividend reinvestment year-to-date.

SEC source: 0001437749-20-024028 · rdgdoc.xml · nonDerivative · entry 1

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Husband & Wife Trust

Disclosed balance after: 405,577

SEC source: 0001437749-21-002034 · 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: 107,645.978

F2 · kind: ESOP DR earnings allocation.

SEC source: 0001437749-20-019912 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,049

Underlying: Common Stock · 4,049 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019912 · rdgdoc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,024

Underlying: Common Stock · 2,024 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019912 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,956

Underlying: Common Stock · 1,956 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019910 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,159

Underlying: Common Stock · 6,159 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019910 · rdgdoc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,079

Underlying: Common Stock · 3,079 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019910 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,975

Underlying: Common Stock · 2,975 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019908 · rdgdoc.xml · derivative · entry 4

Liu Chang · CIK 0001506599 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,362

Underlying: Common Stock · 25,362 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019908 · rdgdoc.xml · derivative · entry 3

Liu Chang · CIK 0001506599 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,681

Underlying: Common Stock · 12,681 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019908 · rdgdoc.xml · derivative · entry 2

Liu Chang · CIK 0001506599 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,252

Underlying: Common Stock · 12,252 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019906 · rdgdoc.xml · derivative · entry 4

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,974

Underlying: Common Stock · 9,974 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019906 · rdgdoc.xml · derivative · entry 3

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,987

Underlying: Common Stock · 4,987 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019906 · rdgdoc.xml · derivative · entry 2

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,818

Underlying: Common Stock · 4,818 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019904 · rdgdoc.xml · derivative · entry 7

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,444

Underlying: Common Stock · 23,444 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019904 · rdgdoc.xml · derivative · entry 6

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,722

Underlying: Common Stock · 11,722 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-20-019904 · rdgdoc.xml · derivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,326

Underlying: Common Stock · 11,326 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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 January 31, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-21-002034 · 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: 318,717.669

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-20-018763 · rdgdoc.xml · nonDerivative · entry 6

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by RIS Family Limited Partnership

Disclosed balance after: 4,700

SEC source: 0001437749-20-018763 · rdgdoc.xml · nonDerivative · entry 5

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Ivy Sun Separate Trust

Disclosed balance after: 3,500

SEC source: 0001437749-20-018763 · rdgdoc.xml · nonDerivative · entry 4

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By JKLM Limited Partnership

Disclosed balance after: 13,315

SEC source: 0001437749-20-016919 · rdgdoc.xml · nonDerivative · entry 8

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Lin-Chih Corporation

Disclosed balance after: 1,500

SEC source: 0001437749-20-016919 · rdgdoc.xml · nonDerivative · entry 7

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Michael Sun Trust

Disclosed balance after: 1,600

SEC source: 0001437749-20-016919 · rdgdoc.xml · nonDerivative · entry 6

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by RIS Family Limited Partnership

Disclosed balance after: 2,500

SEC source: 0001437749-20-016919 · rdgdoc.xml · nonDerivative · entry 5

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Ivy Sun Separate Trust

Disclosed balance after: 1,500

SEC source: 0001437749-20-016919 · rdgdoc.xml · nonDerivative · entry 4

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By JKLM Limited Partnership

Disclosed balance after: 8,215

SEC source: 0001437749-20-016919 · rdgdoc.xml · nonDerivative · entry 3

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sun Trust

Disclosed balance after: 8,833

F1 · balance_after: On June 9, 2020, 3,111 shares of common stock of Cathay General Bancorp were transferred to the Sun Trust as indirect ownership, without the payment of any consideration.

SEC source: 0001437749-21-002034 · 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: 107,645.978

F2 · kind: ESOP DR earnings allocation.

SEC source: 0001437749-21-002034 · 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: 318,717.669

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-20-012922 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,805

SEC source: 0001437749-20-012757 · rdgdoc.xml · nonDerivative · entry 2

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,699

F2 · balance_after: Includes 88.236 shares acquired through dividend reinvestment year-to-date.

SEC source: 0001437749-20-009636 · rdgdoc.xml · nonDerivative · entry 4

CHUNG NELSON · CIK 0001326821 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,333

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

SEC source: 0001437749-20-009653 · rdgdoc.xml · nonDerivative · entry 4

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,111

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

SEC source: 0001437749-20-009649 · rdgdoc.xml · nonDerivative · entry 3

WU PETER · CIK 0001186026 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,111

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

SEC source: 0001437749-20-009644 · rdgdoc.xml · nonDerivative · entry 2

POON JOSEPH C H · CIK 0001185632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,518

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

SEC source: 0001437749-20-009646 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,233

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

SEC source: 0001437749-20-009642 · rdgdoc.xml · nonDerivative · entry 2

LIU TING Y · CIK 0001186009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,282

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

SEC source: 0001437749-20-009640 · rdgdoc.xml · nonDerivative · entry 2

Jelenko Jane H · CIK 0001534768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,111

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

SEC source: 0001437749-20-009638 · rdgdoc.xml · nonDerivative · entry 2

FERNANDEZ FELIX S · CIK 0001564700 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,111

F2 · shares: Grant of fully vested common stock of CATY.

F1 · balance_after: On April 1, 2020, 2,116 shares of common stock of Cathay General Bancorp were transferred from Felix S. Fernandez as direct ownership to the Felix and Katherine Fernandez Trust as indirect ownership, without the payment of any consideration.

SEC source: 0001437749-20-009634 · rdgdoc.xml · nonDerivative · entry 2

CHANG MICHAEL M Y · CIK 0001185627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,060

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

SEC source: 0001437749-20-009632 · rdgdoc.xml · nonDerivative · entry 5

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,082

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

SEC source: 0001437749-20-007160 · rdgdoc.xml · derivative · entry 8

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin 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.

F7 · 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 15, 2016. 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 19, 2016.

F5 · shares: Of the previously reported target award of 3,889 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F8 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2019.

F8 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2019.

SEC source: 0001437749-20-007160 · rdgdoc.xml · derivative · entry 7

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin 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.

F7 · 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 15, 2016. 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 19, 2016.

F4 · shares: Of the previously reported target award of 7,779 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F8 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2019.

F8 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2019.

SEC source: 0001437749-20-007160 · rdgdoc.xml · derivative · entry 6

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin 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.

F7 · 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 15, 2016. 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 19, 2016.

F3 · shares: Of the previously reported target award of 4,050 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria.

F8 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2019.

F8 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2019.

SEC source: 0001437749-20-007160 · rdgdoc.xml · nonDerivative · entry 5

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,779

F6 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.

F2 · balance_after: Includes 88.236 shares acquired through dividend reinvestment year-to-date.

SEC source: 0001437749-20-007160 · rdgdoc.xml · nonDerivative · entry 4

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,705

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 · kind: Of the previously reported target award of 3,889 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F2 · balance_after: Includes 88.236 shares acquired through dividend reinvestment year-to-date.