Last 12 months
Inside the activity.
0 purchase rows · 23 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 4 |
| Dec 2025 | 0 | 2 |
| Jan 2026 | 0 | 2 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 2 |
| May 2026 | 0 | 1 |
| Jun 2026 | 0 | 4 |
| Jul 2026 | 0 | 4 |
| Aug 2026 | 0 | 3 |
| Sep 2026 | 0 | 1 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 14, 2019 Filed Feb 13, 2020 23:21 UTC |
Tai PinCEO
|
OtherCommon Stock | 8.028 | $34.32 | $275.54 |
DisclosureSEC source: 0001437749-20-002635 · rdgdoc.xml · nonDerivative · entry 3 Tai Pin · CIK 0001577235 · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 912.13 F1 · kind: ESOP DR earnings allocation. Read SEC document |
| June 13, 2019 Filed Feb 13, 2020 23:26 UTC |
TANG ANTHONY MDirector · Vice Chairman
|
OtherCommon Stock | 2,640.94 | $34.70 | $91,627.41 |
DisclosureSEC source: 0001437749-20-002639 · 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: 303,263.071 F1 · kind: Dividend Reinvestment. Read SEC document |
| June 13, 2019 Filed Feb 13, 2020 23:24 UTC |
WONG IRWINSEVP, Chief Admin Officer
|
OtherCommon Stock | 52.79 | $34.70 | $1,831.55 |
DisclosureSEC source: 0001437749-20-002637 · rdgdoc.xml · nonDerivative · entry 2 WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,806.93 F1 · kind: Dividend Reinvestment. Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 23:40 UTC |
Liu ChangEVP, Chief Operating Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 2,688 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-011904 · rdgdoc.xml · derivative · entry 3 Liu Chang · CIK 0001506599 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,688 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. F4 · derivative.exercise_date: The Reporting Person previously reported the award of 2,688 shares of restricted stock units on Form 3 filed February 1, 2019. Such restricted stock units vested in full on the date of the grant, and shares of common stock distributed on the third anniversary of the date of the grant. F4 · derivative.expiration_date: The Reporting Person previously reported the award of 2,688 shares of restricted stock units on Form 3 filed February 1, 2019. Such restricted stock units vested in full on the date of the grant, and shares of common stock distributed on the third anniversary of the date of the grant. Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 23:40 UTC |
Liu ChangEVP, Chief Operating Officer
|
Tax withholdingCommon Stock | 930 | $34.77 | $32,336.10 |
DisclosureSEC source: 0001437749-19-011904 · rdgdoc.xml · nonDerivative · entry 2 Liu Chang · CIK 0001506599 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,481 F3 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 23:40 UTC |
Liu ChangEVP, Chief Operating Officer
|
Exercise / conversionCommon Stock | 2,688 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-011904 · rdgdoc.xml · nonDerivative · entry 1 Liu Chang · CIK 0001506599 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,411 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 · kind: Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II. F2 · price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 23:04 UTC |
FERNANDEZ FELIX SDirector
|
GrantCommon Stock | 2,116 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007442 · rdgdoc.xml · nonDerivative · entry 2 FERNANDEZ FELIX S · CIK 0001564700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,116 F1 · shares: Grant of fully vested common stock of CATY. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 23:18 UTC |
Sun RichardDirector
|
GrantCommon Stock | 2,116 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007454 · rdgdoc.xml · nonDerivative · entry 1 Sun Richard · CIK 0001706290 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,722 F1 · shares: Grant of fully vested common stock of CATY. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 23:16 UTC |
WU PETERDirector · Vice Chairman
|
GrantCommon Stock | 2,116 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007452 · rdgdoc.xml · nonDerivative · entry 3 WU PETER · CIK 0001186026 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,735 F1 · shares: Grant of fully vested common stock of CATY. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 23:14 UTC |
TANG ANTHONY MDirector · Vice Chairman
|
GrantCommon Stock | 2,116 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007450 · rdgdoc.xml · nonDerivative · entry 4 TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,122 F3 · shares: Grant of fully vested common stock of CATY. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 23:12 UTC |
POON JOSEPH C HDirector
|
GrantCommon Stock | 2,116 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007448 · rdgdoc.xml · nonDerivative · entry 1 POON JOSEPH C H · CIK 0001185632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,407 F1 · shares: Grant of fully vested common stock of CATY. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 23:09 UTC |
LIU TING YDirector
|
GrantCommon Stock | 2,116 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007446 · rdgdoc.xml · nonDerivative · entry 1 LIU TING Y · CIK 0001186009 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,171 F1 · shares: Grant of fully vested common stock of CATY. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 23:07 UTC |
Jelenko Jane HDirector
|
GrantCommon Stock | 2,116 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007444 · rdgdoc.xml · nonDerivative · entry 2 Jelenko Jane H · CIK 0001534768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,116 F1 · shares: Grant of fully vested common stock of CATY. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 23:01 UTC |
CHUNG NELSONDirector
|
GrantCommon Stock | 2,116 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007440 · rdgdoc.xml · nonDerivative · entry 1 CHUNG NELSON · CIK 0001326821 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,222 F1 · shares: Grant of fully vested common stock of CATY. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 22:59 UTC |
CHANG MICHAEL M YDirector
|
GrantCommon Stock | 2,116 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007438 · rdgdoc.xml · nonDerivative · entry 1 CHANG MICHAEL M Y · CIK 0001185627 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,949 F1 · shares: Grant of fully vested common stock of CATY. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 22:56 UTC |
CHAN KELLY LDirector
|
GrantCommon Stock | 2,116 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007436 · rdgdoc.xml · nonDerivative · entry 4 CHAN KELLY L · CIK 0001185626 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,946 F1 · shares: Grant of fully vested common stock of CATY. Read SEC document |
| March 27, 2019 Filed Mar 29, 2019 22:14 UTC |
Tai PinCEO & President
|
Exercise / conversionRestricted Stock Units · Derivative | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-006060 · rdgdoc.xml · derivative · entry 3 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,297 Underlying: Common Stock · 1,298 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.expiration_date: On March 27, 2017, the Issuer awarded 3,893 restricted stock units to the Reporting Person. The restricted stock units vest in three annual installments. The first installment of 1,298 restricted stock units vested on March 27, 2018, the second installment of 1,298 restricted stock units vested on March 27, 2019, and the last installment of 1,297 restricted stock units will vest on March 27, 2020, or earlier in the event of death, disability, retirement or change in control. Read SEC document |
| March 27, 2019 Filed Mar 29, 2019 22:14 UTC |
Tai PinCEO & President
|
Exercise / conversionCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-006060 · rdgdoc.xml · nonDerivative · entry 2 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,723 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. Read SEC document |
| March 27, 2019 Filed Mar 29, 2019 22:16 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Exercise / conversionRestricted Stock Units · Derivative | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-006062 · rdgdoc.xml · derivative · entry 6 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,297 Underlying: Common Stock · 1,298 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.expiration_date: On March 27, 2017, the Issuer awarded 3,893 restricted stock units to the Reporting Person. The restricted stock units vest in three annual installments. The first installment of 1,298 restricted stock units vested on March 27, 2018, the second installment of 1,298 restricted stock units vested on March 27, 2019, and the last installment of 1,297 restricted stock units will vest on March 27, 2020, or earlier in the event of death, disability, retirement or change in control. Read SEC document |
| March 27, 2019 Filed Mar 29, 2019 22:16 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Tax withholdingCommon Stock | 644 | $33.67 | $21,683.48 |
DisclosureSEC source: 0001437749-19-006062 · rdgdoc.xml · nonDerivative · entry 5 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,984 F1 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
| March 27, 2019 Filed Mar 29, 2019 22:16 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Exercise / conversionCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-006062 · rdgdoc.xml · nonDerivative · entry 4 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,628 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. Read SEC document |
| March 15, 2019 Filed Feb 13, 2020 23:26 UTC |
TANG ANTHONY MDirector · Vice Chairman
|
OtherCommon Stock | 842.661 | $36.45 | $30,712.97 |
DisclosureSEC source: 0001437749-20-002639 · rdgdoc.xml · nonDerivative · entry 5 TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 102,566.015 F2 · kind: ESOP DR earnings allocation. Read SEC document |
| March 15, 2019 Filed Feb 13, 2020 23:24 UTC |
WONG IRWINSEVP, Chief Admin Officer
|
OtherCommon Stock | 158.863 | $36.45 | $5,790.18 |
DisclosureSEC source: 0001437749-20-002637 · rdgdoc.xml · nonDerivative · entry 5 WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 19,335.36 F2 · kind: ESOP DR earnings allocation. Read SEC document |
| March 15, 2019 Filed Feb 13, 2020 23:21 UTC |
Tai PinCEO
|
OtherCommon Stock | 7.503 | $36.45 | $273.47 |
DisclosureSEC source: 0001437749-20-002635 · rdgdoc.xml · nonDerivative · entry 2 Tai Pin · CIK 0001577235 · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 912.13 F1 · kind: ESOP DR earnings allocation. Read SEC document |
| March 14, 2019 Filed Feb 13, 2020 23:26 UTC |
TANG ANTHONY MDirector · Vice Chairman
|
OtherCommon Stock | 2,493.943 | $36.43 | $90,854.34 |
DisclosureSEC source: 0001437749-20-002639 · rdgdoc.xml · nonDerivative · entry 1 TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 303,263.071 F1 · kind: Dividend Reinvestment. Read SEC document |
| March 14, 2019 Filed Feb 13, 2020 23:24 UTC |
WONG IRWINSEVP, Chief Admin Officer
|
OtherCommon Stock | 49.852 | $36.43 | $1,816.11 |
DisclosureSEC source: 0001437749-20-002637 · rdgdoc.xml · nonDerivative · entry 1 WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,806.93 F1 · kind: Dividend Reinvestment. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:25 UTC |
CHEN HENG WEVP/CFO
|
Exercise / conversionRestricted Stock Units · Derivative | 985 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004823 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 985 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. F4 · derivative.exercise_date: The Reporting Person previously reported the award of 964 restricted stock units, based on a closing stock price as of March 9, 2018, on Form 4 filed March 13, 2018. The actual number of restricted stock units issued was 985 based on a closing stock price as of March 8, 2018. In addition, such restricted stock units actually vested in full on the date of grant, with the shares of common stock to be distributed on the first anniversary of the date of the grant or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. F4 · derivative.expiration_date: The Reporting Person previously reported the award of 964 restricted stock units, based on a closing stock price as of March 9, 2018, on Form 4 filed March 13, 2018. The actual number of restricted stock units issued was 985 based on a closing stock price as of March 8, 2018. In addition, such restricted stock units actually vested in full on the date of grant, with the shares of common stock to be distributed on the first anniversary of the date of the grant or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:25 UTC |
CHEN HENG WEVP/CFO
|
Tax withholdingCommon Stock | 341 | $36.53 | $12,456.73 |
DisclosureSEC source: 0001437749-19-004823 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,687 F3 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:25 UTC |
CHEN HENG WEVP/CFO
|
Exercise / conversionCommon Stock | 985 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004823 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,028 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 · kind: Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II. F2 · price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:31 UTC |
BINGHAM KIM REVP, Chief Risk Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 621 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004827 · rdgdoc.xml · derivative · entry 3 BINGHAM KIM R · CIK 0001301191 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 621 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. F4 · derivative.exercise_date: The Reporting Person previously reported the award of 607 restricted stock units, based on a closing stock price as of March 9, 2018, on Form 4 filed March 13, 2018. The actual number of restricted stock units issued was 621 based on a closing stock price as of March 8, 2018. In addition, such restricted stock units actually vested in full on the date of grant, with the shares of common stock to be distributed on the first anniversary of the date of the grant or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. F4 · derivative.expiration_date: The Reporting Person previously reported the award of 607 restricted stock units, based on a closing stock price as of March 9, 2018, on Form 4 filed March 13, 2018. The actual number of restricted stock units issued was 621 based on a closing stock price as of March 8, 2018. In addition, such restricted stock units actually vested in full on the date of grant, with the shares of common stock to be distributed on the first anniversary of the date of the grant or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:31 UTC |
BINGHAM KIM REVP, Chief Risk Officer
|
Tax withholdingCommon Stock | 215 | $36.53 | $7,853.95 |
DisclosureSEC source: 0001437749-19-004827 · rdgdoc.xml · nonDerivative · entry 2 BINGHAM KIM R · CIK 0001301191 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,669 F3 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:31 UTC |
BINGHAM KIM REVP, Chief Risk Officer
|
Exercise / conversionCommon Stock | 621 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004827 · rdgdoc.xml · nonDerivative · entry 1 BINGHAM KIM R · CIK 0001301191 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,884 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 · kind: Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II. F2 · price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:35 UTC |
Lee Mark HakjoonEVP, Chief Credit Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 268 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004831 · rdgdoc.xml · derivative · entry 2 Lee Mark Hakjoon · CIK 0001463314 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 268 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 263 restricted stock units, based on a closing stock price as of March 9, 2018, on Form 4 filed March 13, 2018. The actual number of restricted stock units issued was 268 based on a closing stock price as of March 8, 2018. In addition, such restricted stock units actually vested in full on the date of grant, with the shares of common stock to be distributed on the first anniversary of the date of the grant or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. F3 · derivative.expiration_date: The Reporting Person previously reported the award of 263 restricted stock units, based on a closing stock price as of March 9, 2018, on Form 4 filed March 13, 2018. The actual number of restricted stock units issued was 268 based on a closing stock price as of March 8, 2018. In addition, such restricted stock units actually vested in full on the date of grant, with the shares of common stock to be distributed on the first anniversary of the date of the grant or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:35 UTC |
Lee Mark HakjoonEVP, Chief Credit Officer
|
Exercise / conversionCommon Stock | 268 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004831 · rdgdoc.xml · nonDerivative · entry 1 Lee Mark Hakjoon · CIK 0001463314 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268 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 · kind: Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II. F2 · price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:38 UTC |
Kim Lisa L.EVP, General Counsel
|
Exercise / conversionRestricted Stock Units · Derivative | 453 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004833 · rdgdoc.xml · derivative · entry 3 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 453 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. F4 · derivative.exercise_date: The Reporting Person previously reported the award of 453 shares of restricted stock units on Form 3 filed April 26, 2018. Such restricted stock units vested in full on the date of the grant, and shares of common stock distributed on the first anniversary of the date of the grant. F4 · derivative.expiration_date: The Reporting Person previously reported the award of 453 shares of restricted stock units on Form 3 filed April 26, 2018. Such restricted stock units vested in full on the date of the grant, and shares of common stock distributed on the first anniversary of the date of the grant. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:38 UTC |
Kim Lisa L.EVP, General Counsel
|
Tax withholdingCommon Stock | 157 | $36.53 | $5,735.21 |
DisclosureSEC source: 0001437749-19-004833 · rdgdoc.xml · nonDerivative · entry 2 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,033 F3 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:38 UTC |
Kim Lisa L.EVP, General Counsel
|
Exercise / conversionCommon Stock | 453 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004833 · rdgdoc.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,190 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 · kind: Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II. F2 · price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:33 UTC |
Liu ChangEVP, Chief Operating Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 342 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004829 · rdgdoc.xml · derivative · entry 3 Liu Chang · CIK 0001506599 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 342 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. F4 · derivative.exercise_date: The Reporting Person previously reported the award of 342 shares of restricted stock units on Form 3 filed February 1, 2019. Such restricted stock units vested in full on the date of the grant, and shares of common stock distributed on the first anniversary of the date of the grant. F4 · derivative.expiration_date: The Reporting Person previously reported the award of 342 shares of restricted stock units on Form 3 filed February 1, 2019. Such restricted stock units vested in full on the date of the grant, and shares of common stock distributed on the first anniversary of the date of the grant. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:33 UTC |
Liu ChangEVP, Chief Operating Officer
|
Tax withholdingCommon Stock | 119 | $36.53 | $4,347.07 |
DisclosureSEC source: 0001437749-19-004829 · rdgdoc.xml · nonDerivative · entry 2 Liu Chang · CIK 0001506599 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 723 F3 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:33 UTC |
Liu ChangEVP, Chief Operating Officer
|
Exercise / conversionCommon Stock | 342 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004829 · rdgdoc.xml · nonDerivative · entry 1 Liu Chang · CIK 0001506599 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 842 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 · kind: Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II. F2 · price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:27 UTC |
WONG IRWINSEVP, Chief Admin Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 883 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004825 · rdgdoc.xml · derivative · entry 4 WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 883 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. F4 · derivative.exercise_date: The Reporting Person previously reported the award of 863 restricted stock units, based on a closing stock price as of March 9, 2018, on Form 4 filed March 13, 2018. The actual number of restricted stock units issued was 883 based on a closing stock price as of March 8, 2018. In addition, such restricted stock units actually vested in full on the date of grant, with the shares of common stock to be distributed on the first anniversary of the date of the grant or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. F4 · derivative.expiration_date: The Reporting Person previously reported the award of 863 restricted stock units, based on a closing stock price as of March 9, 2018, on Form 4 filed March 13, 2018. The actual number of restricted stock units issued was 883 based on a closing stock price as of March 8, 2018. In addition, such restricted stock units actually vested in full on the date of grant, with the shares of common stock to be distributed on the first anniversary of the date of the grant or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:27 UTC |
WONG IRWINSEVP, Chief Admin Officer
|
Tax withholdingCommon Stock | 306 | $36.53 | $11,178.18 |
DisclosureSEC source: 0001437749-19-004825 · rdgdoc.xml · nonDerivative · entry 3 WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,571.35 F3 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:27 UTC |
WONG IRWINSEVP, Chief Admin Officer
|
Exercise / conversionCommon Stock | 883 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004825 · rdgdoc.xml · nonDerivative · entry 2 WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,877.35 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 · kind: Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II. F2 · price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. Read SEC document |
| March 06, 2019 Filed Mar 8, 2019 23:13 UTC |
BINGHAM KIM REVP, Chief Risk Officer
|
SaleCommon Stock | 4,200 | $37.92 | $159,264.00 |
DisclosureSEC source: 0001437749-19-004490 · rdgdoc.xml · nonDerivative · entry 1 BINGHAM KIM R · CIK 0001301191 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,263 Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 23:33 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
GrantRestricted Stock Units · Derivative | 10,664 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004111 · rdgdoc.xml · derivative · entry 10 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,664 Underlying: Common Stock · 10,664 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. F7 · derivative.exercise_date: These restricted stock units are scheduled to vest in 3 annual equal installments beginning March 1, 2020, or earlier in the event of death, disability, retirement, or change in control. F7 · derivative.expiration_date: These restricted stock units are scheduled to vest in 3 annual equal installments beginning March 1, 2020, or earlier in the event of death, disability, retirement, or change in control. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 23:33 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Exercise / conversionRestricted Stock Units · Derivative | 2,013 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004111 · rdgdoc.xml · derivative · entry 9 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,025 Underlying: Common Stock · 2,013 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. F5 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. F6 · derivative.expiration_date: Reporting Person was granted 6,038 restricted stock units on March 1, 2018, with a vesting schedule of 3 annual equal installments beginning March 1, 2019, or earlier in the event of death, disability, retirement, or change in control. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 23:33 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Exercise / conversionRestricted Stock Units · Derivative | 18,862 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004111 · rdgdoc.xml · derivative · entry 8 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,862 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. F1 · 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 December 17, 2015. 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 December 21, 2015. F2 · shares: Of the previously reported target award of 18,862 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F3 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2018. F3 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2018. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 23:33 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Tax withholdingCommon Stock | 999 | $38.36 | $38,321.64 |
DisclosureSEC source: 0001437749-19-004111 · rdgdoc.xml · nonDerivative · entry 7 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,330 F4 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 23:33 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Exercise / conversionCommon Stock | 2,013 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004111 · rdgdoc.xml · nonDerivative · entry 6 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,329 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. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 23:33 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Tax withholdingCommon Stock | 13,437 | $38.36 | $515,443.32 |
DisclosureSEC source: 0001437749-19-004111 · rdgdoc.xml · nonDerivative · entry 5 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,316 F4 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.