Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATHAY GENERAL BANCORPCATY · Entity 2261 | Director · CEO | April 01, 2020 | April 03, 2020 |
| Chi Special Acquisition Corp.GDST · Entity 7581 | Director | March 16, 2022 | March 17, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CATHAY GENERAL BANCORP
Report date April 01, 2020 · Filed April 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 93,240 |
Ending reported balance
After 2020-04-01 transaction · row 5
4 source rows · reconciled sequenceRow 2 · 2020-04-01 · Exercise / conversion · Acquired 16,957 · Balance 74,368 F2: Of the previously reported target award of 10,384 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria. Row 3 · 2020-04-01 · Exercise / conversion · Acquired 32,818 · Balance 107,186 F3: Of the previously reported target award of 19,946 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. Row 4 · 2020-04-01 · Exercise / conversion · Acquired 16,409 · Balance 123,595 F4: Of the previously reported target award of 9,973 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. Row 5 · 2020-04-01 · Tax withholding · Disposed 30,355 · Balance 93,240 F5: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-04-01 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-04-01 · Exercise / conversion · Disposed 10,384 · Balance 0 F6: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 15, 2016. 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 19, 2016. F2: Of the previously reported target award of 10,384 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria. F7: Performance-based restricted stock units vested on December 31, 2019. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-04-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-04-01 · Exercise / conversion · Disposed 19,946 · Balance 0 F6: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 15, 2016. 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 19, 2016. F3: Of the previously reported target award of 19,946 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F7: Performance-based restricted stock units vested on December 31, 2019. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-04-01 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-04-01 · Exercise / conversion · Disposed 9,973 · Balance 0 F6: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 15, 2016. 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 19, 2016. F4: Of the previously reported target award of 9,973 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F7: Performance-based restricted stock units vested on December 31, 2019. |
| Common StockSEC Table I · non-derivative | IndirectBy ESOP | 925 |
Reported balance
Holding disclosure · report date 2020-04-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 925 F1: Includes 13.244 shares acquired through dividend reinvestment year-to-date. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 13.244 shares acquired through dividend reinvestment year-to-date.
F2: Of the previously reported target award of 10,384 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria.
F3: Of the previously reported target award of 19,946 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
F4: Of the previously reported target award of 9,973 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
F5: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.
F6: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 15, 2016. 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 19, 2016.
F7: Performance-based restricted stock units vested on December 31, 2019.
Chi Special Acquisition Corp.
Report date March 16, 2022 · Filed March 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 15,000 |
Reported balance
Holding disclosure · report date 2022-03-16 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 15,000 |
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 17, 2017 Filed Feb 22, 2017 21:15 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | 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 | CATHAY GENERAL BANCORP CATY · Entity 2261 | 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 | CATHAY GENERAL BANCORP CATY · Entity 2261 | 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 | CATHAY GENERAL BANCORP CATY · Entity 2261 | 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 | CATHAY GENERAL BANCORP CATY · Entity 2261 | 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 |
| December 31, 2016 Filed Feb 9, 2017 22:38 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | OtherCommon Stock | 18.66 | $38.03 | $709.64 |
DisclosureSEC source: 0001437749-17-002055 · rdgdoc.xml · nonDerivative · entry 1 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 844.55 F1 · kind: ESOP DR earnings allocation. Read SEC document |
| December 15, 2016 Filed Dec 20, 2016 00:00 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 9,973 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-16-043530 · rdgdoc.xml · derivative · entry 5 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,973 Underlying: Common Stock · 9,973 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, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 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, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| December 15, 2016 Filed Dec 20, 2016 00:00 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 10,384 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-16-043530 · rdgdoc.xml · derivative · entry 4 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,384 Underlying: Common Stock · 10,384 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, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 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, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| December 15, 2016 Filed Dec 20, 2016 00:00 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 19,946 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-16-043530 · rdgdoc.xml · derivative · entry 3 Tai Pin · CIK 0001577235 · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,946 Underlying: Common Stock · 19,946 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, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 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, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. 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.