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Warrant 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



June 3, 2015



September 1, 2015



December 2, 2015



March 1, 2016



June 1, 2016



September 1, 2016



December 1, 2016



March 1, 2017



June 1, 2017



September 1, 2017



December 1, 2017



March 1, 2018



June 1, 2018



September 4, 2018



December 3, 2018

1.04 2


  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.

Get in Touch

Registrar & Transfer Agent

American Stock Transfer and Trust Company, LLC

time 6201 15th Avenue Brooklyn, NY 11219

Investor Contact

Georgia Lo, Cathay General Bancorp

time 777 North Broadway, Los Angeles CA 90012
Cathay Bank

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