CATY

SEC source: 0001437749-22-025237 · rdgdoc.xml · nonDerivative · entry 5

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,964

SEC source: 0001437749-22-025237 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,964

SEC source: 0001437749-23-002292 · 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: 114,412.145

F2 · kind: ESOP DR earnings allocation.

SEC source: 0001437749-23-002292 · 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: 338,876.134

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-23-002290 · rdgdoc.xml · nonDerivative · entry 2

Wang Shally · CIK 0001863620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,011.33

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-23-002288 · rdgdoc.xml · nonDerivative · entry 3

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,392.05

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-22-020980 · rdgdoc.xml · nonDerivative · entry 4

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,984

SEC source: 0001437749-22-020211 · rdgdoc.xml · nonDerivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,984

SEC source: 0001437749-22-020211 · rdgdoc.xml · nonDerivative · entry 4

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,984

SEC source: 0001437749-22-019452 · rdgdoc.xml · nonDerivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,984

SEC source: 0001437749-22-019452 · rdgdoc.xml · nonDerivative · entry 4

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,984

SEC source: 0001437749-22-018501 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,884

SEC source: 0001437749-22-018498 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,964

SEC source: 0001437749-22-015525 · rdgdoc.xml · nonDerivative · entry 5

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,655

F1 · balance_after: On May 19, 2022, 1,978 shares of common stock of Cathay General Bancorp were transferred from direct ownership to the Kelly & Barbara Chan Living Trust as indirect ownership, without the payment of any consideration.

SEC source: 0001437749-23-002292 · 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: 114,412.145

F2 · kind: ESOP DR earnings allocation.

SEC source: 0001437749-23-002292 · 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: 338,876.134

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-23-002290 · rdgdoc.xml · nonDerivative · entry 1

Wang Shally · CIK 0001863620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,011.33

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-23-002288 · rdgdoc.xml · nonDerivative · entry 2

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,392.05

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-22-013951 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,403

Underlying: Common Stock · 4,403 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013951 · rdgdoc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,201

Underlying: Common Stock · 2,201 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013951 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,142

Underlying: Common Stock · 2,142 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013953 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,065

Underlying: Common Stock · 4,065 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013953 · rdgdoc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,032

Underlying: Common Stock · 2,032 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013953 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,978

Underlying: Common Stock · 1,978 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013949 · rdgdoc.xml · derivative · entry 4

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,117

Underlying: Common Stock · 7,117 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013949 · rdgdoc.xml · derivative · entry 3

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,558

Underlying: Common Stock · 3,558 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013949 · rdgdoc.xml · derivative · entry 2

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,463

Underlying: Common Stock · 3,463 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013947 · rdgdoc.xml · derivative · entry 7

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,889

Underlying: Common Stock · 19,889 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013947 · rdgdoc.xml · derivative · entry 6

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,944

Underlying: Common Stock · 9,944 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013947 · rdgdoc.xml · derivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,678

Underlying: Common Stock · 9,678 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 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, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013943 · rdgdoc.xml · derivative · entry 4

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,103

Underlying: Common Stock · 21,103 shares

Expires not disclosed

F2 · 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.

F2 · 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.

F2 · 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.

F3 · derivative.exercise_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

F3 · derivative.expiration_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013943 · rdgdoc.xml · derivative · entry 3

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,551

Underlying: Common Stock · 10,551 shares

Expires not disclosed

F2 · 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.

F2 · 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.

F2 · 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.

F3 · derivative.exercise_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

F3 · derivative.expiration_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-013943 · rdgdoc.xml · derivative · entry 2

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,269

Underlying: Common Stock · 10,269 shares

Expires not disclosed

F2 · 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.

F2 · 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.

F2 · 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.

F3 · derivative.exercise_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

F3 · derivative.expiration_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2024, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2023 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-22-008518 · rdgdoc.xml · nonDerivative · entry 3

WU PETER · CIK 0001186026 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,978

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

SEC source: 0001437749-22-008538 · rdgdoc.xml · nonDerivative · entry 5

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,733

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

SEC source: 0001437749-22-008536 · rdgdoc.xml · nonDerivative · entry 4

CHUNG NELSON · CIK 0001326821 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,978

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

SEC source: 0001437749-22-008534 · rdgdoc.xml · nonDerivative · entry 2

FERNANDEZ FELIX S · CIK 0001564700 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,978

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

SEC source: 0001437749-22-008532 · rdgdoc.xml · nonDerivative · entry 1

Hung Maan-Huei · CIK 0001812687 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,253

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

SEC source: 0001437749-22-008530 · rdgdoc.xml · nonDerivative · entry 3

Jelenko Jane H · CIK 0001534768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,978

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

SEC source: 0001437749-22-008528 · rdgdoc.xml · nonDerivative · entry 2

POON JOSEPH C H · CIK 0001185632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,571

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

SEC source: 0001437749-22-008526 · rdgdoc.xml · nonDerivative · entry 8

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,978

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

SEC source: 0001437749-22-008524 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,964

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

SEC source: 0001437749-22-008521 · rdgdoc.xml · nonDerivative · entry 1

Wang Shally · CIK 0001863620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,978

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

SEC source: 0001437749-22-008103 · rdgdoc.xml · derivative · entry 9

CHEN HENG W · CIK 0001207193 · EVP/CFO

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.

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 July 18, 2019. 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 July 22, 2019.

F3 · shares: Of the previously reported target award of 7,647 shares of performance-based restricted stock units, 77.443% 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, 2022.

F5 · derivative.expiration_date: Performance-based restricted stock units vested on January 31, 2022.

SEC source: 0001437749-22-008103 · rdgdoc.xml · derivative · entry 8

CHEN HENG W · CIK 0001207193 · EVP/CFO

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.

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 July 18, 2019. 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 July 22, 2019.

F2 · shares: Of the previously reported target award of 3,823 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, 2022.

F5 · derivative.expiration_date: Performance-based restricted stock units vested on January 31, 2022.

SEC source: 0001437749-22-008103 · rdgdoc.xml · derivative · entry 7

CHEN HENG W · CIK 0001207193 · EVP/CFO

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.

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 July 18, 2019. 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 July 22, 2019.

F1 · shares: Of the previously reported target award of 3,653 shares of performance-based restricted stock units, 129% 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, 2022.

F5 · derivative.expiration_date: Performance-based restricted stock units vested on January 31, 2022.

SEC source: 0001437749-22-008103 · rdgdoc.xml · nonDerivative · entry 6

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,515

SEC source: 0001437749-22-008103 · rdgdoc.xml · nonDerivative · entry 5

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,764

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 7,647 shares of performance-based restricted stock units, 77.443% of the target award was earned based upon the achievement of certain performance criteria.

SEC source: 0001437749-22-008103 · rdgdoc.xml · nonDerivative · entry 4

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,212

SEC source: 0001437749-22-008103 · rdgdoc.xml · nonDerivative · entry 3

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,705

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.

F2 · shares: Of the previously reported target award of 3,823 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.