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 |
|---|---|---|---|---|---|---|
| April 13, 2017 Filed Apr 17, 2017 22:05 UTC |
WU PETERDirector · Vice Chairman
|
GrantCommon Stock | 1,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-006671 · rdgdoc.xml · nonDerivative · entry 1 WU PETER · CIK 0001186026 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,376 F1 · shares: Grant of fully vested common stock of CATY. F2 · balance_after: 25,995 shares were transferred from direct ownership to Family Trust as indirect ownership on 3/9/17. Read SEC document |
| April 13, 2017 Filed Apr 17, 2017 22:05 UTC |
TANG ANTHONY MDirector · Vice Chairman
|
GrantCommon Stock | 1,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-006672 · rdgdoc.xml · nonDerivative · entry 1 TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 301,400 F1 · shares: Grant of fully vested common stock of CATY. Read SEC document |
| March 27, 2017 Filed Mar 29, 2017 22:58 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
GrantRestricted Stock Units · Derivative | 3,893 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-005542 · rdgdoc.xml · derivative · entry 5 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,893 Underlying: Common Stock · 3,893 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock upon vesting, subject to adjustment in accordance with the award agreement and the Cathay General Bancorp 2005 Incentive Plan, as amended and restated. F2 · derivative.exercise_date: These restricted stock units are scheduled to vest in 3 annual equal installments beginning March 27, 2018, or earlier in the event of death, disability, retirement, or change in control. F2 · derivative.expiration_date: These restricted stock units are scheduled to vest in 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, 2017 Filed Mar 29, 2017 22:57 UTC |
Tai PinCEO & President
|
GrantRestricted Stock Units · Derivative | 3,893 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-005541 · rdgdoc.xml · derivative · entry 3 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,893 Underlying: Common Stock · 3,893 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock upon vesting, subject to adjustment in accordance with the award agreement and the Cathay General Bancorp 2005 Incentive Plan, as amended and restated. F3 · derivative.exercise_date: These restricted stock units are scheduled to vest in 3 annual equal installments beginning March 27, 2018, or earlier in the event of death, disability, retirement, or change in control. F3 · derivative.expiration_date: These restricted stock units are scheduled to vest in 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 14, 2017 Filed Feb 2, 2018 01:43 UTC |
Tai PinCEO & President
|
OtherCommon Stock | 4.53 | $39.04 | $176.87 |
DisclosureSEC source: 0001437749-18-001519 · rdgdoc.xml · nonDerivative · entry 1 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 863.41 F1 · kind: ESOP DR earnings allocation. Read SEC document |
| March 14, 2017 Filed Feb 2, 2018 01:38 UTC |
WONG IRWINSEVP, Chief Operating Officer
|
OtherCommon Stock | 95.628 | $39.04 | $3,733.70 |
DisclosureSEC source: 0001437749-18-001516 · rdgdoc.xml · nonDerivative · entry 5 WONG IRWIN · CIK 0001185635 · SEVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 18,217.05 F2 · kind: ESOP DR earnings allocation. Read SEC document |
| March 14, 2017 Filed Feb 2, 2018 01:34 UTC |
TANG ANTHONY MDirector · Vice Chairman
|
OtherCommon Stock | 507.171 | $39.04 | $19,801.98 |
DisclosureSEC source: 0001437749-18-001514 · rdgdoc.xml · nonDerivative · entry 1 TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 96,615.52 F1 · kind: ESOP DR earnings allocation. Read SEC document |
| March 10, 2017 Filed Feb 2, 2018 01:38 UTC |
WONG IRWINSEVP, Chief Operating Officer
|
OtherCommon Stock | 30.458 | $38.52 | $1,173.24 |
DisclosureSEC source: 0001437749-18-001516 · rdgdoc.xml · nonDerivative · entry 1 WONG IRWIN · CIK 0001185635 · SEVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,329.84 F1 · kind: Dividend Reinvestment. Read SEC document |
| March 10, 2017 Filed Feb 2, 2018 01:34 UTC |
TANG ANTHONY MDirector · Vice Chairman
|
OtherCommon Stock | 1,523.745 | $38.52 | $58,694.66 |
DisclosureSEC source: 0001437749-18-001514 · 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: 585,799.06 F2 · kind: Dividend Reinvestment. Read SEC document |
| March 07, 2017 Filed Mar 9, 2017 00:25 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
SaleCommon Stock | 17,555 | $39.27 | $689,448.05 |
DisclosureSEC source: 0001437749-17-004054 · rdgdoc.xml · nonDerivative · entry 2 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,591 Read SEC document |
| March 07, 2017 Filed Mar 9, 2017 00:24 UTC |
LEE PATRICKDirector
|
Exercise / conversionStock Option · Derivative | 3,500 | $0.00 Strike: $23.37 | $0.00 |
DisclosureSEC source: 0001437749-17-004053 · rdgdoc.xml · derivative · entry 4 LEE PATRICK · CIK 0001185631 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,500 shares Expires 2018-02-21 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_date: The option is fully exercisable. Read SEC document |
| March 07, 2017 Filed Mar 9, 2017 00:24 UTC |
LEE PATRICKDirector
|
SaleCommon Stock | 3,500 | $39.17 | $137,109.00 |
DisclosureSEC source: 0001437749-17-004053 · rdgdoc.xml · nonDerivative · entry 2 LEE PATRICK · CIK 0001185631 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 07, 2017 Filed Mar 9, 2017 00:24 UTC |
LEE PATRICKDirector
|
Exercise / conversionCommon Stock | 3,500 | $23.37 | $81,795.00 |
DisclosureSEC source: 0001437749-17-004053 · rdgdoc.xml · nonDerivative · entry 1 LEE PATRICK · CIK 0001185631 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 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 06, 2017 Filed Mar 9, 2017 00:25 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
SaleCommon Stock | 20,000 | $39.25 | $784,924.00 |
DisclosureSEC source: 0001437749-17-004054 · rdgdoc.xml · nonDerivative · entry 1 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,146 Read SEC document |
| March 03, 2017 Filed Mar 3, 2017 23:28 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
SaleCommon Stock | 20,000 | $39.50 | $789,926.00 |
DisclosureSEC source: 0001437749-17-003806 · rdgdoc.xml · nonDerivative · entry 3 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,146 Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 23:28 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
SaleCommon Stock | 1,417 | $40.08 | $56,792.23 |
DisclosureSEC source: 0001437749-17-003806 · rdgdoc.xml · nonDerivative · entry 2 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,146 Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 23:28 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
SaleCommon Stock | 40,000 | $40.65 | $1,625,860.00 |
DisclosureSEC source: 0001437749-17-003806 · rdgdoc.xml · nonDerivative · entry 1 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,563 Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 01:06 UTC Amendment |
BINGHAM KIM REVP - Chief Risk Officer
|
SaleCommon Stock | 10,000 | $39.05 | $390,500.00 |
DisclosureSEC source: 0001437749-17-003456 · rdgdoc.xml · nonDerivative · entry 1 BINGHAM KIM R · CIK 0001301191 · EVP - Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,811 F1 · date: The transaction date should be 2/27/2017 on the original Form 4 filed today. Read SEC document |
| February 27, 2017 Filed Mar 3, 2017 23:29 UTC Amendment |
BINGHAM KIM REVP - Chief Risk Officer
|
SaleCommon Stock | 10,000 | $39.50 | $395,000.00 |
DisclosureSEC source: 0001437749-17-003807 · rdgdoc.xml · nonDerivative · entry 1 BINGHAM KIM R · CIK 0001301191 · EVP - Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,811 F1 · price: The transaction price was misquoted as $39.05 in the previous Form 4/A filed on 2/28/17. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Exercise / conversionRestricted Stock Unit · Derivative | 38,095 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002983 · rdgdoc.xml · derivative · entry 9 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 38,095 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 18, 2013. 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 20, 2013. F4 · shares: Of the previously reported target award of 38,095 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Exercise / conversionRestricted Stock Unit · Derivative | 39,292 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002983 · 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 · 39,292 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 18, 2013. 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 20, 2013. F3 · shares: Of the previously reported target award of 39,292 shares of restricted stock unit, 106% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Tax withholdingCommon Stock | 31,430 | $39.42 | $1,238,970.60 |
DisclosureSEC source: 0001437749-17-002983 · rdgdoc.xml · nonDerivative · entry 4 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,563 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Exercise / conversionCommon Stock | 60,233 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002983 · rdgdoc.xml · nonDerivative · entry 3 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 304,993 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: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. 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 20, 2013. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Tax withholdingCommon Stock | 19,312 | $39.42 | $761,279.04 |
DisclosureSEC source: 0001437749-17-002983 · rdgdoc.xml · nonDerivative · entry 2 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,760 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
CHENG DUNSON KDirector · Executive Chairman
|
Exercise / conversionCommon Stock | 44,040 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002983 · rdgdoc.xml · nonDerivative · entry 1 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,072 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: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. 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 20, 2013. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
WU PETERDirector · Vice Chairman
|
Exercise / conversionRestricted Stock Unit · Derivative | 17,142 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002982 · rdgdoc.xml · derivative · entry 8 WU PETER · CIK 0001186026 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,142 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 18, 2013. 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 20, 2013. F4 · shares: Of the previously reported target award of 17,142 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
WU PETERDirector · Vice Chairman
|
Exercise / conversionRestricted Stock Unit · Derivative | 17,681 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002982 · rdgdoc.xml · derivative · entry 7 WU PETER · CIK 0001186026 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,681 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 18, 2013. 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 20, 2013. F3 · shares: Of the previously reported target award of 17,681 shares of restricted stock unit, 106% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
WU PETERDirector · Vice Chairman
|
Tax withholdingCommon Stock | 13,333 | $39.42 | $525,586.86 |
DisclosureSEC source: 0001437749-17-002982 · rdgdoc.xml · nonDerivative · entry 4 WU PETER · CIK 0001186026 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,971 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
WU PETERDirector · Vice Chairman
|
Exercise / conversionCommon Stock | 27,104 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002982 · rdgdoc.xml · nonDerivative · entry 3 WU PETER · CIK 0001186026 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,304 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: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. 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 20, 2013. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
WU PETERDirector · Vice Chairman
|
Tax withholdingCommon Stock | 7,593 | $39.42 | $299,316.06 |
DisclosureSEC source: 0001437749-17-002982 · rdgdoc.xml · nonDerivative · entry 2 WU PETER · CIK 0001186026 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,200 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:17 UTC |
WU PETERDirector · Vice Chairman
|
Exercise / conversionCommon Stock | 19,817 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002982 · rdgdoc.xml · nonDerivative · entry 1 WU PETER · CIK 0001186026 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,793 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: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. 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 20, 2013. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:16 UTC |
CHEN HENG WEVP/CFO
|
Exercise / conversionRestricted Stock Units · Derivative | 14,285 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · derivative · entry 6 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,285 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 18, 2013. 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 20, 2013. F4 · shares: Of the previously reported target award of 14,285 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:16 UTC |
CHEN HENG WEVP/CFO
|
Exercise / conversionRestricted Stock Units · Derivative | 14,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · derivative · entry 5 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,734 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 18, 2013. 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 20, 2013. F3 · shares: Of the previously reported target award of 14,734 shares of restricted stock unit, 106% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:16 UTC |
CHEN HENG WEVP/CFO
|
Tax withholdingCommon Stock | 10,493 | $39.42 | $413,634.06 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · nonDerivative · entry 4 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,242 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:16 UTC |
CHEN HENG WEVP/CFO
|
Exercise / conversionCommon Stock | 22,586 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · nonDerivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,735 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: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. 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 20, 2013. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:16 UTC |
CHEN HENG WEVP/CFO
|
Tax withholdingCommon Stock | 6,305 | $39.42 | $248,543.10 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,149 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:16 UTC |
CHEN HENG WEVP/CFO
|
Exercise / conversionCommon Stock | 16,514 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,454 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: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. 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 20, 2013. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:15 UTC |
Tai PinCEO & President
|
Exercise / conversionRestricted Stock Units · Derivative | 10,476 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002980 · rdgdoc.xml · derivative · entry 7 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,476 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 18, 2013. 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 20, 2013. F4 · shares: Of the previously reported target award of 10,476 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:15 UTC |
Tai PinCEO & President
|
Exercise / conversionRestricted Stock Units · Derivative | 10,805 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002980 · rdgdoc.xml · derivative · entry 6 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,805 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 18, 2013. 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 20, 2013. F3 · shares: Of the previously reported target award of 10,805 shares of restricted stock unit, 106% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:15 UTC |
Tai PinCEO & President
|
Tax withholdingCommon Stock | 6,708 | $39.42 | $264,429.36 |
DisclosureSEC source: 0001437749-17-002980 · rdgdoc.xml · nonDerivative · entry 4 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,262 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:15 UTC |
Tai PinCEO & President
|
Exercise / conversionCommon Stock | 16,564 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002980 · rdgdoc.xml · nonDerivative · entry 3 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,970 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: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. 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 20, 2013. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:15 UTC |
Tai PinCEO & President
|
Tax withholdingCommon Stock | 4,606 | $39.42 | $181,568.52 |
DisclosureSEC source: 0001437749-17-002980 · rdgdoc.xml · nonDerivative · entry 2 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,406 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:15 UTC |
Tai PinCEO & President
|
Exercise / conversionCommon Stock | 12,110 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002980 · rdgdoc.xml · nonDerivative · entry 1 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,012 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: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. 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 20, 2013. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:14 UTC |
WONG IRWINSEVP, Chief Operating Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 9,523 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002979 · rdgdoc.xml · derivative · entry 7 WONG IRWIN · CIK 0001185635 · SEVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,523 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 18, 2013. 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 20, 2013. F4 · shares: Of the previously reported target award of 9,523 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:14 UTC |
WONG IRWINSEVP, Chief Operating Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 9,823 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002979 · rdgdoc.xml · derivative · entry 6 WONG IRWIN · CIK 0001185635 · SEVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,823 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 18, 2013. 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 20, 2013. F3 · shares: Of the previously reported target award of 9,823 shares of restricted stock unit, 106% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:14 UTC |
WONG IRWINSEVP, Chief Operating Officer
|
Tax withholdingCommon Stock | 5,761 | $39.42 | $227,098.62 |
DisclosureSEC source: 0001437749-17-002979 · rdgdoc.xml · nonDerivative · entry 4 WONG IRWIN · CIK 0001185635 · SEVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,853.89 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:14 UTC |
WONG IRWINSEVP, Chief Operating Officer
|
Exercise / conversionCommon Stock | 15,057 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002979 · rdgdoc.xml · nonDerivative · entry 3 WONG IRWIN · CIK 0001185635 · SEVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,614.89 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: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. 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 20, 2013. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:14 UTC |
WONG IRWINSEVP, Chief Operating Officer
|
Tax withholdingCommon Stock | 4,247 | $39.42 | $167,416.74 |
DisclosureSEC source: 0001437749-17-002979 · rdgdoc.xml · nonDerivative · entry 2 WONG IRWIN · CIK 0001185635 · SEVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,557.89 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:14 UTC |
BINGHAM KIM REVP - Chief Risk Officer
|
Exercise / conversionRestricted Stock Unit · Derivative | 9,523 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002977 · rdgdoc.xml · derivative · entry 6 BINGHAM KIM R · CIK 0001301191 · EVP - Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,523 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 18, 2013. 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 20, 2013. F4 · shares: Of the previously reported target award of 9,523 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:14 UTC |
BINGHAM KIM REVP - Chief Risk Officer
|
Exercise / conversionRestricted Stock Unit · Derivative | 9,823 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002977 · rdgdoc.xml · derivative · entry 5 BINGHAM KIM R · CIK 0001301191 · EVP - Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,823 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 18, 2013. 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 20, 2013. F3 · shares: Of the previously reported target award of 9,823 shares of restricted stock unit, 106% of the target award was earned based upon the achievement of certain performance criteria. F5 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2016. F5 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2016. 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.