CATY

SEC source: 0001437749-24-002494 · rdgdoc.xml · nonDerivative · entry 4

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,904

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-24-002492 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 351,322.259

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-23-030725 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Bingham Trust

Disclosed balance after: 41,849

F1 · balance_after: Between August 22, 2023 and September 5, 2023, 47,849 shares of common stock of Cathay General Bancorp were transferred from direct ownership to the Kim R. Bingham and Angelina Bingham Trust as indirect ownership, without the payment of any consideration.

SEC source: 0001437749-23-027592 · rdgdoc.xml · derivative · entry 3

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

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.

F2 · 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 921 shares of restricted stock units on Form 3 filed January 26, 2023. Such restricted stock units vested in full and distributed on October 2, 2023.

F3 · derivative.expiration_date: The Reporting Person previously reported the award of 921 shares of restricted stock units on Form 3 filed January 26, 2023. Such restricted stock units vested in full and distributed on October 2, 2023.

SEC source: 0001437749-23-027592 · rdgdoc.xml · nonDerivative · entry 2

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,944.3

F1 · balance_after: Includes 36.789 shares acquired through dividend reinvestment year-to-date

SEC source: 0001437749-23-027592 · rdgdoc.xml · nonDerivative · entry 1

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,263.3

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 · balance_after: Includes 36.789 shares acquired through dividend reinvestment year-to-date

SEC source: 0001437749-24-002494 · rdgdoc.xml · nonDerivative · entry 3

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,904

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-24-002492 · rdgdoc.xml · nonDerivative · entry 3

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 351,322.259

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-23-021259 · rdgdoc.xml · derivative · entry 2

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,448

Underlying: Common Stock · 1,448 shares

Expires not disclosed

F2 · 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: These restricted stock units are scheduled to fully vest on July 27, 2026, or earlier in the event of death, disability, retirement, or change in control.

F3 · derivative.expiration_date: These restricted stock units are scheduled to fully vest on July 27, 2026, or earlier in the event of death, disability, retirement, or change in control.

SEC source: 0001437749-23-021257 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,713

Underlying: Common Stock · 4,713 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021257 · rdgdoc.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,356

Underlying: Common Stock · 2,356 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021257 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,251

Underlying: Common Stock · 2,251 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021255 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,792

Underlying: Common Stock · 4,792 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021255 · rdgdoc.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,396

Underlying: Common Stock · 2,396 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021255 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,288

Underlying: Common Stock · 2,288 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021249 · rdgdoc.xml · derivative · entry 7

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,932

Underlying: Common Stock · 20,932 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021249 · rdgdoc.xml · derivative · entry 6

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,466

Underlying: Common Stock · 10,466 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021249 · rdgdoc.xml · derivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,997

Underlying: Common Stock · 9,997 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021253 · rdgdoc.xml · derivative · entry 4

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,767

Underlying: Common Stock · 7,767 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021253 · rdgdoc.xml · derivative · entry 3

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,883

Underlying: Common Stock · 3,883 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021253 · rdgdoc.xml · derivative · entry 2

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,709

Underlying: Common Stock · 3,709 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021246 · rdgdoc.xml · derivative · entry 4

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,249

Underlying: Common Stock · 24,249 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021246 · rdgdoc.xml · derivative · entry 3

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,124

Underlying: Common Stock · 12,124 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-23-021246 · rdgdoc.xml · derivative · entry 2

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,581

Underlying: Common Stock · 11,581 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, 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-24-002494 · rdgdoc.xml · nonDerivative · entry 2

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,904

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-24-002492 · rdgdoc.xml · nonDerivative · entry 2

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 351,322.259

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-23-011439 · rdgdoc.xml · nonDerivative · entry 6

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · by Lin-Chih Corporation

Disclosed balance after: 1,800

SEC source: 0001437749-23-011439 · rdgdoc.xml · nonDerivative · entry 4

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · by RIS Family Limited Partnership

Disclosed balance after: 5,800

SEC source: 0001437749-23-011439 · rdgdoc.xml · nonDerivative · entry 3

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ivy Sun Separate Trust

Disclosed balance after: 4,200

SEC source: 0001437749-23-011439 · rdgdoc.xml · nonDerivative · entry 2

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By JKLM Limited Partnership

Disclosed balance after: 17,315

SEC source: 0001437749-23-010486 · rdgdoc.xml · nonDerivative · entry 8

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,536

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

SEC source: 0001437749-23-010482 · rdgdoc.xml · nonDerivative · entry 1

Wang Shally · CIK 0001863620 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,559

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

F2 · balance_after: Includes 11.999 shares acquired through dividend reinvestment year-to-date

SEC source: 0001437749-23-010480 · rdgdoc.xml · nonDerivative · entry 3

WU PETER · CIK 0001186026 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,536

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

SEC source: 0001437749-23-010478 · rdgdoc.xml · nonDerivative · entry 3

Jelenko Jane H · CIK 0001534768 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,536

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

SEC source: 0001437749-23-010476 · rdgdoc.xml · nonDerivative · entry 2

FERNANDEZ FELIX S · CIK 0001564700 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,536

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

SEC source: 0001437749-23-010474 · rdgdoc.xml · nonDerivative · entry 4

CHUNG NELSON · CIK 0001326821 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,514

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

SEC source: 0001437749-23-010472 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211,500

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

SEC source: 0001437749-23-010469 · rdgdoc.xml · nonDerivative · entry 2

POON JOSEPH C H · CIK 0001185632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,107

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

SEC source: 0001437749-23-010467 · rdgdoc.xml · nonDerivative · entry 1

Hung Maan-Huei · CIK 0001812687 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,789

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

SEC source: 0001437749-23-010464 · rdgdoc.xml · nonDerivative · entry 5

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,191

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

SEC source: 0001437749-23-009568 · rdgdoc.xml · derivative · entry 9

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

10b5-1 filing: No plan indicated

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.

F4 · 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 September 16, 2020. Such restricted stock units were previously reported in Table II on a Form 4 filed by the Reporting Person with the Securities and Exchange Commission on September 18, 2020.

F3 · shares: Of the previously reported target award of 4,049 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F5 · derivative.exercise_date: Performance-based restricted stock units vested on January 31, 2023.

F5 · derivative.expiration_date: Performance-based restricted stock units vested on January 31, 2023.

SEC source: 0001437749-23-009568 · rdgdoc.xml · derivative · entry 8

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

10b5-1 filing: No plan indicated

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.

F4 · 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 September 16, 2020. Such restricted stock units were previously reported in Table II on a Form 4 filed by the Reporting Person with the Securities and Exchange Commission on September 18, 2020.

F2 · shares: Of the previously reported target award of 2,024 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F5 · derivative.exercise_date: Performance-based restricted stock units vested on January 31, 2023.

F5 · derivative.expiration_date: Performance-based restricted stock units vested on January 31, 2023.

SEC source: 0001437749-23-009568 · rdgdoc.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

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.

F4 · 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 September 16, 2020. Such restricted stock units were previously reported in Table II on a Form 4 filed by the Reporting Person with the Securities and Exchange Commission on September 18, 2020.

F1 · shares: Of the previously reported target award of 1,956 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria.

F5 · derivative.exercise_date: Performance-based restricted stock units vested on January 31, 2023.

F5 · derivative.expiration_date: Performance-based restricted stock units vested on January 31, 2023.

SEC source: 0001437749-23-009568 · rdgdoc.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,038

SEC source: 0001437749-23-009568 · rdgdoc.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,316

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 · shares: Of the previously reported target award of 4,049 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

SEC source: 0001437749-23-009568 · rdgdoc.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,729

SEC source: 0001437749-23-009568 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,868

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 2,024 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

SEC source: 0001437749-23-009568 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,576

SEC source: 0001437749-23-009568 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,671

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 · shares: Of the previously reported target award of 1,956 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria.

SEC source: 0001437749-23-009564 · rdgdoc.xml · derivative · entry 9

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

10b5-1 filing: No plan indicated

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.

F4 · 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 September 16, 2020. Such restricted stock units were previously reported in Table II on a Form 4 filed by the Reporting Person with the Securities and Exchange Commission on September 18, 2020.

F3 · shares: Of the previously reported target award of 6,159 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.

F5 · derivative.exercise_date: Performance-based restricted stock units vested on January 31, 2023.

F5 · derivative.expiration_date: Performance-based restricted stock units vested on January 31, 2023.