Cathay General Bancorp (CATY) Form 3 CATHAY GENERAL BANCORP / Thomas M. Lo ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Lo Thomas M.

(Last) (First) (Middle)

777 NORTH BROADWAY

(Street)

LOS ANGELES CA 90012

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/18/2024

3. Issuer Name and Ticker or Trading Symbol
CATHAY GENERAL BANCORP [ CATY ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
EVP, Chief Admin Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	3,019	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units	(1)	(1)	Common Stock	1,928	(2)	D
Restricted Stock Units	(3)	(3)	Common Stock	2,134	(2)	D
Restricted Stock Units	(4)	(4)	Common Stock	2,896	(2)	D

Explanation of Responses:

1. These restricted stock units are scheduled to fully vest on May 27, 2024, or earlier in the event of death, disability, retirement, or change in control.

2. Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.

3. These restricted stock units are scheduled to fully vest on March 16, 2025, or earlier in the event of death, disability, retirement, or change in control.

4. 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.

	/s/ Georgia Lo, attorney-in-fact	01/25/2024
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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