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Nasdaq · USD

CATY

CATHAY GENERAL BANCORP

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2261
SEC CIK
0000861842
Parsed reports
465

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
MonthPurchasesSales
Nov 202504
Dec 202502
Jan 202602
Feb 202600
Mar 202600
Apr 202602
May 202601
Jun 202604
Jul 202604
Aug 202603
Sep 202601
Oct 202600

Latest available

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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 04, 2018 Filed Dec 8, 2018 00:35 UTC
CHAN KELLY LDirector
PurchaseCommon Stock 500 $37.45 $18,725.00
Disclosure

SEC source: 0001437749-18-021767 · rdgdoc.xml · nonDerivative · entry 3

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Partner - Chansons Properties

Disclosed balance after: 30,596

Read SEC document
November 27, 2018 Filed Nov 30, 2018 00:34 UTC
CHENG DUNSON KDirector · Executive Chairman
SaleCommon Stock 31,000 $38.69 $1,199,455.10
Disclosure

SEC source: 0001437749-18-021379 · rdgdoc.xml · nonDerivative · entry 4

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,828

Read SEC document
September 19, 2018 Filed Feb 14, 2019 01:03 UTC
WONG IRWINSEVP, Chief Admin Officer
OtherCommon Stock 105.298 $42.11 $4,433.86
Disclosure

SEC source: 0001437749-19-002507 · rdgdoc.xml · nonDerivative · entry 7

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By ESOP

Disclosed balance after: 18,689.58

F2 · kind: ESOP DR earnings allocation.

Read SEC document
September 19, 2018 Filed Feb 14, 2019 01:09 UTC
TANG ANTHONY MDirector · Vice Chairman
OtherCommon Stock 558.529 $42.11 $23,518.37
Disclosure

SEC source: 0001437749-19-002510 · 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: 99,121.91

F1 · kind: ESOP DR earnings allocation.

Read SEC document
September 19, 2018 Filed Feb 14, 2019 00:58 UTC
Tai PinCEO & President
OtherCommon Stock 4.977 $42.11 $209.57
Disclosure

SEC source: 0001437749-19-002505 · rdgdoc.xml · nonDerivative · entry 4

Tai Pin · CIK 0001577235 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Indirect · By ESOP

Disclosed balance after: 885.75

F1 · kind: ESOP DR earnings allocation.

Read SEC document
September 14, 2018 Filed Sep 18, 2018 23:15 UTC
CHAN KELLY LDirector
GiftCommon Stock 1,950 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-017178 · rdgdoc.xml · nonDerivative · entry 6

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,830

F1 · balance_after: 1,606 shares were transferred from direct ownership to the Kelly & Barbara Chan Living Trust as indirect ownership on 5/14/18.

Read SEC document
September 14, 2018 Filed Feb 14, 2019 01:03 UTC
WONG IRWINSEVP, Chief Admin Officer
OtherCommon Stock 32.727 $42.36 $1,386.32
Disclosure

SEC source: 0001437749-19-002507 · rdgdoc.xml · nonDerivative · entry 3

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,262.35

F1 · kind: Dividend Reinvestment.

Read SEC document
September 14, 2018 Filed Feb 14, 2019 01:09 UTC
TANG ANTHONY MDirector · Vice Chairman
OtherCommon Stock 1,637.224 $42.36 $69,352.81
Disclosure

SEC source: 0001437749-19-002510 · 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: 293,078.47

F2 · kind: Dividend Reinvestment.

Read SEC document
August 20, 2018 Filed Aug 21, 2018 23:50 UTC
TANG ANTHONY MDirector · Vice Chairman
SaleCommon Stock 219 $42.50 $9,307.50
Disclosure

SEC source: 0001437749-18-015985 · rdgdoc.xml · nonDerivative · entry 5

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,006

Read SEC document
August 17, 2018 Filed Aug 21, 2018 23:50 UTC
TANG ANTHONY MDirector · Vice Chairman
SaleCommon Stock 9,781 $42.50 $415,692.50
Disclosure

SEC source: 0001437749-18-015985 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,225

Read SEC document
August 10, 2018 Filed Aug 13, 2018 23:46 UTC
Kim Lisa L.EVP, General Counsel
SaleCommon Stock 750 $42.06 $31,542.38
Disclosure

SEC source: 0001437749-18-015411 · rdgdoc.xml · nonDerivative · entry 1

Kim Lisa L. · CIK 0001738532 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 805

Read SEC document
August 08, 2018 Filed Aug 9, 2018 23:22 UTC
TANG ANTHONY MDirector · Vice Chairman
SaleCommon Stock 5,266 $42.50 $223,805.00
Disclosure

SEC source: 0001437749-18-015148 · rdgdoc.xml · nonDerivative · entry 5

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,006

Read SEC document
August 07, 2018 Filed Aug 9, 2018 23:22 UTC
TANG ANTHONY MDirector · Vice Chairman
SaleCommon Stock 6,244 $42.50 $265,370.00
Disclosure

SEC source: 0001437749-18-015148 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,272

Read SEC document
August 03, 2018 Filed Aug 6, 2018 22:32 UTC
TANG ANTHONY MDirector · Vice Chairman
SaleCommon Stock 1,201 $42.50 $51,042.50
Disclosure

SEC source: 0001437749-18-014615 · rdgdoc.xml · nonDerivative · entry 5

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,516

Read SEC document
August 02, 2018 Filed Aug 6, 2018 22:32 UTC
TANG ANTHONY MDirector · Vice Chairman
SaleCommon Stock 12,289 $42.50 $522,292.33
Disclosure

SEC source: 0001437749-18-014615 · rdgdoc.xml · nonDerivative · entry 1

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,717

Read SEC document
June 13, 2018 Filed Feb 14, 2019 01:03 UTC
WONG IRWINSEVP, Chief Admin Officer
OtherCommon Stock 103.063 $42.52 $4,382.37
Disclosure

SEC source: 0001437749-19-002507 · rdgdoc.xml · nonDerivative · entry 6

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By ESOP

Disclosed balance after: 18,689.58

F2 · kind: ESOP DR earnings allocation.

Read SEC document
June 13, 2018 Filed Feb 14, 2019 01:09 UTC
TANG ANTHONY MDirector · Vice Chairman
OtherCommon Stock 546.653 $42.52 $23,244.40
Disclosure

SEC source: 0001437749-19-002510 · 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: 99,121.91

F1 · kind: ESOP DR earnings allocation.

Read SEC document
June 13, 2018 Filed Feb 14, 2019 00:58 UTC
Tai PinCEO & President
OtherCommon Stock 4.874 $42.52 $207.25
Disclosure

SEC source: 0001437749-19-002505 · rdgdoc.xml · nonDerivative · entry 3

Tai Pin · CIK 0001577235 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Indirect · By ESOP

Disclosed balance after: 885.75

F1 · kind: ESOP DR earnings allocation.

Read SEC document
June 11, 2018 Filed Feb 14, 2019 01:03 UTC
WONG IRWINSEVP, Chief Admin Officer
OtherCommon Stock 31.88 $43.25 $1,378.65
Disclosure

SEC source: 0001437749-19-002507 · rdgdoc.xml · nonDerivative · entry 2

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,262.35

F1 · kind: Dividend Reinvestment.

Read SEC document
June 11, 2018 Filed Feb 14, 2019 01:09 UTC
TANG ANTHONY MDirector · Vice Chairman
OtherCommon Stock 1,594.867 $43.25 $68,970.02
Disclosure

SEC source: 0001437749-19-002510 · 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: 293,078.47

F2 · kind: Dividend Reinvestment.

Read SEC document
June 06, 2018 Filed Jun 9, 2018 00:25 UTC
WONG IRWINSEVP, Chief Operating Officer
SaleCommon Stock 6,409 $43.00 $275,587.00
Disclosure

SEC source: 0001437749-18-011520 · rdgdoc.xml · nonDerivative · entry 2

WONG IRWIN · CIK 0001185635 · SEVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,813.37

F2 · balance_after: Includes 31.534 shares acquired through dividend reinvestment year-to-date

Read SEC document
May 07, 2018 Filed May 8, 2018 23:24 UTC
CHENG DUNSON KDirector · Executive Chairman
SaleCommon Stock 13,333 $41.26 $550,066.25
Disclosure

SEC source: 0001437749-18-009073 · rdgdoc.xml · nonDerivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,828

Read SEC document
May 04, 2018 Filed May 8, 2018 23:24 UTC
CHENG DUNSON KDirector · Executive Chairman
SaleCommon Stock 10,000 $41.12 $411,151.00
Disclosure

SEC source: 0001437749-18-009073 · rdgdoc.xml · nonDerivative · entry 4

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,161

Read SEC document
April 27, 2018 Filed May 1, 2018 00:18 UTC
CHENG DUNSON KDirector · Executive Chairman
SaleCommon Stock 11,963 $40.76 $487,640.59
Disclosure

SEC source: 0001437749-18-008196 · rdgdoc.xml · nonDerivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,161

Read SEC document
April 26, 2018 Filed May 1, 2018 00:18 UTC
CHENG DUNSON KDirector · Executive Chairman
SaleCommon Stock 14,704 $40.79 $599,779.10
Disclosure

SEC source: 0001437749-18-008196 · rdgdoc.xml · nonDerivative · entry 4

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,124

Read SEC document
April 19, 2018 Filed Apr 23, 2018 19:01 UTC
Sun RichardDirector
GrantCommon Stock 1,606 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-007460 · rdgdoc.xml · nonDerivative · entry 1

Sun Richard · CIK 0001706290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,606

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

Read SEC document
April 19, 2018 Filed Apr 23, 2018 18:53 UTC
WU PETERDirector · Vice Chairman
GrantCommon Stock 1,606 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-007458 · rdgdoc.xml · nonDerivative · entry 2

WU PETER · CIK 0001186026 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,582

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

Read SEC document
April 19, 2018 Filed Apr 23, 2018 18:51 UTC
TANG ANTHONY MDirector · Vice Chairman
GrantCommon Stock 1,606 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-007456 · rdgdoc.xml · nonDerivative · entry 1

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,006

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

Read SEC document
April 19, 2018 Filed Apr 23, 2018 18:46 UTC
LIU TING YDirector
GrantCommon Stock 1,606 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-007451 · rdgdoc.xml · nonDerivative · entry 1

LIU TING Y · CIK 0001186009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,055

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

Read SEC document
April 19, 2018 Filed Apr 23, 2018 18:48 UTC GrantCommon Stock 1,606 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-007454 · rdgdoc.xml · nonDerivative · entry 1

POON JOSEPH C H · CIK 0001185632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,291

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

Read SEC document
April 19, 2018 Filed Apr 23, 2018 18:43 UTC GrantCommon Stock 1,606 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-007449 · rdgdoc.xml · nonDerivative · entry 1

Jelenko Jane H · CIK 0001534768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,606

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

F2 · balance_after: 1,400 shares were transferred to the Jelenko-Norris Intervivos Trust as indirect ownership on 5/10/17.

Read SEC document
April 19, 2018 Filed Apr 23, 2018 18:35 UTC GrantCommon Stock 1,606 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-007447 · rdgdoc.xml · nonDerivative · entry 1

FERNANDEZ FELIX S · CIK 0001564700 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,606

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

F2 · balance_after: 1,400 shares were transferred to the Felix and Catherine Fernandez Trust as indirect ownership on 5/22/17.

Read SEC document
April 19, 2018 Filed Apr 23, 2018 18:32 UTC
CHUNG NELSONDirector
GrantCommon Stock 1,606 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-007445 · rdgdoc.xml · nonDerivative · entry 1

CHUNG NELSON · CIK 0001326821 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,106

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

Read SEC document
April 19, 2018 Filed Apr 23, 2018 18:30 UTC GrantCommon Stock 1,606 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-007442 · rdgdoc.xml · nonDerivative · entry 1

CHANG MICHAEL M Y · CIK 0001185627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,833

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

Read SEC document
April 19, 2018 Filed Apr 23, 2018 18:27 UTC
CHAN KELLY LDirector
GrantCommon Stock 1,606 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-007440 · rdgdoc.xml · nonDerivative · entry 2

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,386

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

F2 · balance_after: 3,500 shares were transferred to the Kelly & Barbara Chan Living Trust as indirect ownership on 2/15/18.

Read SEC document
March 27, 2018 Filed Mar 29, 2018 17:21 UTC
Tai PinCEO & President
Exercise / conversionRestricted Stock Units · Derivative 1,298 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-005812 · rdgdoc.xml · derivative · entry 3

Tai Pin · CIK 0001577235 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,595

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 represents a contingent right to receive one share of Common Stock of the Issuer.

F3 · derivative.expiration_date: Reporting Person was granted 3,893 restricted stock units on March 27, 2017, with a vesting schedule of 3 annual equal installments beginning March 27, 2018, or earlier in the event of death, disability, retirement, or change in control.

Read SEC document
March 27, 2018 Filed Mar 29, 2018 17:21 UTC
Tai PinCEO & President
Exercise / conversionCommon Stock 1,298 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-005812 · rdgdoc.xml · nonDerivative · entry 2

Tai Pin · CIK 0001577235 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,690

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, 2018 Filed Mar 29, 2018 17:14 UTC
CHENG DUNSON KDirector · Executive Chairman
Exercise / conversionRestricted Stock Units · Derivative 1,298 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-005808 · rdgdoc.xml · derivative · entry 6

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,595

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 represents a contingent right to receive one share of Common Stock upon vesting.

F3 · derivative.expiration_date: Reporting Person was granted 3,893 restricted stock units on March 27, 2017, with a vesting schedule of 3 annual equal installments beginning March 27, 2018, or earlier in the event of death, disability, retirement, or change in control.

Read SEC document
March 27, 2018 Filed Mar 29, 2018 17:14 UTC
CHENG DUNSON KDirector · Executive Chairman
Tax withholdingCommon Stock 644 $39.51 $25,444.44
Disclosure

SEC source: 0001437749-18-005808 · rdgdoc.xml · nonDerivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,828

F1 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.

Read SEC document
March 27, 2018 Filed Mar 29, 2018 17:14 UTC
CHENG DUNSON KDirector · Executive Chairman
Exercise / conversionCommon Stock 1,298 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-005808 · rdgdoc.xml · nonDerivative · entry 4

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,472

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, 2018 Filed Mar 19, 2018 23:25 UTC
WONG IRWINSEVP, Chief Operating Officer
GrantRestricted Stock Units · Derivative 7,121 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-18-005000 · rdgdoc.xml · derivative · entry 3

WONG IRWIN · CIK 0001185635 · SEVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,121

Underlying: Common Stock · 7,121 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock uppn 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 · shares: Each restricted stock unit represented a contingent right to receive one share of Common Stock uppn 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 · price: Each restricted stock unit represented a contingent right to receive one share of Common Stock uppn 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.

F4 · derivative.exercise_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

F4 · derivative.expiration_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

Read SEC document
March 15, 2018 Filed Mar 19, 2018 23:20 UTC GrantRestricted Stock Units · Derivative 6,420 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-18-004998 · rdgdoc.xml · derivative · entry 2

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,420

Underlying: Common Stock · 6,420 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock uppn 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 uppn 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 uppn 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

Read SEC document
March 15, 2018 Filed Mar 19, 2018 23:16 UTC
BINGHAM KIM REVP - Chief Risk Officer
GrantRestricted Stock Units · Derivative 3,969 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-18-004996 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,969

Underlying: Common Stock · 3,969 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock uppn 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 uppn 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 uppn 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

Read SEC document
March 15, 2018 Filed Mar 19, 2018 23:09 UTC
CHENG DUNSON KDirector · Executive Chairman
GrantRestricted Stock Units · Derivative 8,171 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-18-004994 · rdgdoc.xml · derivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,171

Underlying: Common Stock · 8,171 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock uppn 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 uppn 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 uppn 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

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March 15, 2018 Filed Mar 19, 2018 23:07 UTC
Tai PinCEO & President
GrantRestricted Stock Units · Derivative 15,759 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-18-004992 · rdgdoc.xml · derivative · entry 3

Tai Pin · CIK 0001577235 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,759

Underlying: Common Stock · 15,759 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock uppn 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 uppn 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 uppn 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

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March 15, 2018 Filed Feb 14, 2019 01:03 UTC
WONG IRWINSEVP, Chief Admin Officer
OtherCommon Stock 102.658 $42.75 $4,388.68
Disclosure

SEC source: 0001437749-19-002507 · 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: 18,689.58

F2 · kind: ESOP DR earnings allocation.

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March 15, 2018 Filed Feb 14, 2019 01:09 UTC
TANG ANTHONY MDirector · Vice Chairman
OtherCommon Stock 544.526 $544.53 $296,508.56
Disclosure

SEC source: 0001437749-19-002510 · 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: 99,121.91

F1 · kind: ESOP DR earnings allocation.

Read SEC document
March 15, 2018 Filed Feb 14, 2019 00:58 UTC
Tai PinCEO & President
OtherCommon Stock 4.856 $42.75 $207.60
Disclosure

SEC source: 0001437749-19-002505 · rdgdoc.xml · nonDerivative · entry 2

Tai Pin · CIK 0001577235 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Indirect · By ESOP

Disclosed balance after: 885.75

F1 · kind: ESOP DR earnings allocation.

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March 12, 2018 Filed Feb 14, 2019 01:03 UTC
WONG IRWINSEVP, Chief Admin Officer
OtherCommon Stock 31.505 $43.52 $1,371.10
Disclosure

SEC source: 0001437749-19-002507 · rdgdoc.xml · nonDerivative · entry 1

WONG IRWIN · CIK 0001185635 · SEVP, Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,262.35

F1 · kind: Dividend Reinvestment.

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March 12, 2018 Filed Feb 14, 2019 01:09 UTC
TANG ANTHONY MDirector · Vice Chairman
OtherCommon Stock 1,576.098 $43.52 $68,591.78
Disclosure

SEC source: 0001437749-19-002510 · 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: 293,078.47

F2 · kind: Dividend Reinvestment.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.