Stockholder Information

Warrant Information

Cathay General Bancorp (the “Company”) has outstanding warrants to purchase shares of common stock of the Company (the “Warrants”). The Warrants are exercisable, in whole or in part, at any time and from time to time until December 5, 2018.  Section 13 of the Global Warrant Certificate representing the Warrants contains provisions that require adjustment to the Exercise Price and the Warrant Share Number as a result of certain events, including in the event the Company declares and pays a quarterly cash dividend on its shares of common stock in excess of $0.105 per share.

The table below sets forth the effect of the dividend on the Exercise Price and Warrant Share Number, as calculated under the terms of the Global Warrant Certificate, the form of which was included as Exhibit 4.2 to the Company’s Form 10-K for the year ended December 31, 2013, which was filed with the Securities and Exchange Commission on March 3, 2014.

Adjustments to Warrants to Purchase Common Stock1
Record Date Warrant Share Number
after Record Date
Warrant Exercise Price
after Record Date
   Original Terms 1.00 $20.960
   June 3, 2015 1.00 $20.936
   September 1, 2015 1.00 $20.911
   December 2, 2015 1.00 $20.866
   March 1, 2016 1.00 $20.808
   June 1, 2016 1.00 $20.757
   September 1, 2016 1.01 $20.707
   December 1, 2016 1.01 $20.646
   March 1, 2017 1.01 $20.591
  June 1, 2017 1.02 $20.532
  September 1, 2017 1.02 $20.471
  December 1, 2017 1.02 $20.409
  March 1, 2018 1.03 $20.344
  June 1, 2018 1.03 $20.280
  September 4, 2018   1.03 $20.215
  December 3, 2018   1.042 $20.108
1. All calculations are made to the nearest one-hundredth (1/100th) of a share or one-tenth (1/10th) of a cent.
2. In accordance with the terms of the Global Warrant Certificate, no adjustment was required as a result of the dividend declared because the adjustment was less than one-tenth (1/10th) of a share. The unrounded adjustment will be carried forward (the “Carry-Forward Amount”) until the earlier to occur of a (i) a subsequent event contemplated by Section 13 of the Global Warrant Certificate resulting in an adjustment that, when added to the Carry-Forward Amount, equals or exceeds one-tenth (1/10th) of a share or (ii) exercise of a Warrant, at which time we would make an adjustment rounded to the nearest one-hundredth (1/100th) of a share. The Carry-Forward Amount is .00237 shares for the Warrant Share Number as of December 3, 2018.

Registrar & Transfer Agent

American Stock Transfer and Trust Company, LLC
6201 15th Avenue

Brooklyn, NY 11219

Tel: (800) 937-5449

Investor Contact Information

Georgia Lo

Phone: (626) 279-3296