CATY

SEC source: 0001437749-25-008480 · rdgdoc.xml · nonDerivative · entry 2

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,157

F1 · balance_after: Includes 19.208 shares acquired through dividend reinvestment year-to-date

SEC source: 0001437749-25-008480 · rdgdoc.xml · nonDerivative · entry 1

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,592

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 · balance_after: Includes 19.208 shares acquired through dividend reinvestment year-to-date

SEC source: 0001437749-25-008479 · rdgdoc.xml · derivative · entry 3

Lo Thomas M. · CIK 0002009474 · EVP, Chief Admin Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,134 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: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.

F2 · derivative.exercise_date: The reporting person previously reported the award of 2,134 shares of restricted stock units on Form 3 filed January 25, 2024. All of these restricted stock units vested on March 17, 2025.

F2 · derivative.expiration_date: The reporting person previously reported the award of 2,134 shares of restricted stock units on Form 3 filed January 25, 2024. All of these restricted stock units vested on March 17, 2025.

SEC source: 0001437749-25-008479 · rdgdoc.xml · nonDerivative · entry 2

Lo Thomas M. · CIK 0002009474 · EVP, Chief Admin Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,729

SEC source: 0001437749-25-008479 · rdgdoc.xml · nonDerivative · entry 1

Lo Thomas M. · CIK 0002009474 · EVP, Chief Admin Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,493

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.

SEC source: 0001437749-26-003570 · rdgdoc.xml · nonDerivative · entry 1

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,224

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-26-003561 · rdgdoc.xml · nonDerivative · entry 1

Wang Shally · CIK 0001863620 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,247

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-26-003559 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 369,816

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-25-007098 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 188,792

SEC source: 0001437749-24-038326 · rdgdoc.xml · nonDerivative · entry 4

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 138,357

SEC source: 0001437749-24-037261 · rdgdoc.xml · nonDerivative · entry 5

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 191,292

SEC source: 0001437749-24-037261 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 193,792

SEC source: 0001437749-25-003622 · rdgdoc.xml · nonDerivative · entry 4

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,506

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-25-003617 · rdgdoc.xml · nonDerivative · entry 7

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 362,925

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-24-036993 · rdgdoc.xml · nonDerivative · entry 5

CHAN KELLY L · CIK 0001185626 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,091

F1 · balance_after: On May 13, 2024, 2,412 shares of common stock of Cathay General Bancorp were transferred from direct ownership to the Kelly & Barbara Chan Living Trust as indirect ownership, without the payment of any consideration.

SEC source: 0001437749-24-034254 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,292

SEC source: 0001437749-24-034252 · rdgdoc.xml · nonDerivative · entry 3

WU PETER · CIK 0001186026 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · PACJU, LLC

Disclosed balance after: 295,252

F1 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $52.55 to $53.18, inclusive. The reporting person undertakes to provide to Cathay General Bancorp ("Cathay"), any security holder of Cathay, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001437749-24-033023 · rdgdoc.xml · nonDerivative · entry 4

WU PETER · CIK 0001186026 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · PACJU, LLC

Disclosed balance after: 335,252

SEC source: 0001437749-24-033023 · rdgdoc.xml · nonDerivative · entry 3

WU PETER · CIK 0001186026 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · PACJU, LLC

Disclosed balance after: 347,963

SEC source: 0001437749-24-033021 · rdgdoc.xml · nonDerivative · entry 1

Lo Thomas M. · CIK 0002009474 · EVP, Chief Admin Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,359

SEC source: 0001437749-25-003622 · rdgdoc.xml · nonDerivative · entry 3

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,506

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-25-003617 · rdgdoc.xml · nonDerivative · entry 6

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 362,925

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-24-027957 · rdgdoc.xml · nonDerivative · entry 4

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,566

SEC source: 0001437749-24-023786 · rdgdoc.xml · nonDerivative · entry 3

WU PETER · CIK 0001186026 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · PACJU, LLC

Disclosed balance after: 355,252

SEC source: 0001437749-24-023784 · rdgdoc.xml · nonDerivative · entry 4

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 199,292

SEC source: 0001437749-24-023781 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Bingham Trust

Disclosed balance after: 45,530

SEC source: 0001437749-24-022057 · rdgdoc.xml · derivative · entry 3

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,458

Underlying: Common Stock · 1,458 shares

Expires not disclosed

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: These restricted stock units are scheduled to fully vest on June 28, 2027, or earlier in the event of death, disability, retirement, or change in control.

F3 · derivative.expiration_date: These restricted stock units are scheduled to fully vest on June 28, 2027, or earlier in the event of death, disability, retirement, or change in control.

SEC source: 0001437749-24-022055 · rdgdoc.xml · derivative · entry 3

Lo Thomas M. · CIK 0002009474 · EVP, Chief Admin Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,313

Underlying: Common Stock · 3,313 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.

F2 · derivative.exercise_date: These restricted stock units are scheduled to fully vest on June 28, 2027, or earlier in the event of death, disability, retirement, or change in control.

F2 · derivative.expiration_date: These restricted stock units are scheduled to fully vest on June 28, 2027, or earlier in the event of death, disability, retirement, or change in control.

SEC source: 0001437749-24-022043 · rdgdoc.xml · derivative · entry 4

SUN ALBERT · CIK 0001668213 · EVP, Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,400

Underlying: Common Stock · 4,400 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022043 · rdgdoc.xml · derivative · entry 3

SUN ALBERT · CIK 0001668213 · EVP, Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,200

Underlying: Common Stock · 2,200 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022043 · rdgdoc.xml · derivative · entry 2

SUN ALBERT · CIK 0001668213 · EVP, Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,183

Underlying: Common Stock · 2,183 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022039 · rdgdoc.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,997

Underlying: Common Stock · 4,997 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022039 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,498

Underlying: Common Stock · 2,498 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022039 · rdgdoc.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,478

Underlying: Common Stock · 2,478 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022036 · rdgdoc.xml · derivative · entry 5

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,085

Underlying: Common Stock · 8,085 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022036 · rdgdoc.xml · derivative · entry 4

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,042

Underlying: Common Stock · 4,042 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022036 · rdgdoc.xml · derivative · entry 3

CHEN HENG W · CIK 0001207193 · EVP/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,011

Underlying: Common Stock · 4,011 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022032 · rdgdoc.xml · derivative · entry 7

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,133

Underlying: Common Stock · 18,133 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022032 · rdgdoc.xml · derivative · entry 6

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,066

Underlying: Common Stock · 9,066 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022032 · rdgdoc.xml · derivative · entry 5

CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,995

Underlying: Common Stock · 8,995 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022029 · rdgdoc.xml · derivative · entry 4

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,212

Underlying: Common Stock · 25,212 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022029 · rdgdoc.xml · derivative · entry 3

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,606

Underlying: Common Stock · 12,606 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-24-022029 · rdgdoc.xml · derivative · entry 2

Liu Chang · CIK 0001506599 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,506

Underlying: Common Stock · 12,506 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock upon 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 upon 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 upon 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 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, 2026, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2025 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.

SEC source: 0001437749-25-003622 · rdgdoc.xml · nonDerivative · entry 2

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,506

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-25-003617 · rdgdoc.xml · nonDerivative · entry 5

TANG ANTHONY M · CIK 0001185633 · Director · Vice Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 362,925

F1 · kind: Dividend Reinvestment.

SEC source: 0001437749-24-022057 · rdgdoc.xml · derivative · entry 4

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 723 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 723 shares of restricted stock units on Form 3 filed January 26, 2023. All of these restricted stock units vested on May 28, 2024.

F4 · derivative.expiration_date: The reporting person previously reported the award of 723 shares of restricted stock units on Form 3 filed January 26, 2023. All of these restricted stock units vested on May 28, 2024.

SEC source: 0001437749-24-022057 · rdgdoc.xml · nonDerivative · entry 2

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,446

F1 · balance_after: Includes 16.568 shares acquired through dividend reinvestment year-to-date

SEC source: 0001437749-24-022057 · rdgdoc.xml · nonDerivative · entry 1

Chan May K. · CIK 0001963555 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,700

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 · balance_after: Includes 16.568 shares acquired through dividend reinvestment year-to-date

SEC source: 0001437749-24-022055 · rdgdoc.xml · derivative · entry 4

Lo Thomas M. · CIK 0002009474 · EVP, Chief Admin Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,928 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: 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 1,928 shares of restricted stock units on Form 3 filed January 25, 2024. All of these restricted stock units vested on May 28, 2024.

F3 · derivative.expiration_date: The reporting person previously reported the award of 1,928 shares of restricted stock units on Form 3 filed January 25, 2024. All of these restricted stock units vested on May 28, 2024.

SEC source: 0001437749-24-022055 · rdgdoc.xml · nonDerivative · entry 2

Lo Thomas M. · CIK 0002009474 · EVP, Chief Admin Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,259