Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATHAY GENERAL BANCORPCATY · Entity 2261 | Director | April 17, 2017 | April 19, 2017 |
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 17, 2017 · Filed April 19, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,020 |
Reported balance
After 2017-04-17 transaction · row 1
1 source rowRow 1 · 2017-04-17 · Exercise / conversion · Acquired 3,500 · Balance 10,020 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $23.37 · Expires 2018-02-21 | Direct | 0 |
Reported balance
After 2017-04-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-04-17 · Exercise / conversion · Disposed 3,500 · Balance 0 F1: The option is fully exercisable. |
| Common StockSEC Table I · non-derivative | IndirectFamily Trust | 209,746 |
Reported balance
Holding disclosure · report date 2017-04-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 209,746 |
| Common StockSEC Table I · non-derivative | IndirectPension Fund | 69,732 |
Reported balance
Holding disclosure · report date 2017-04-17 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 69,732 |
Filing footnotes · ownership attribution and instrument terms
F1: The option is fully exercisable.
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 |
|---|---|---|---|---|---|---|
| April 17, 2017 Filed Apr 19, 2017 22:11 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionStock Option · Derivative | 3,500 | $0.00 Strike: $23.37 | $0.00 |
DisclosureSEC source: 0001437749-17-006822 · rdgdoc.xml · derivative · entry 4 CHIU THOMAS C T · CIK 0001185974 · 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 |
| April 17, 2017 Filed Apr 19, 2017 22:11 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 3,500 | $23.37 | $81,795.00 |
DisclosureSEC source: 0001437749-17-006822 · rdgdoc.xml · nonDerivative · entry 1 CHIU THOMAS C T · CIK 0001185974 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,020 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 |
| April 13, 2017 Filed Apr 17, 2017 22:23 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantCommon Stock | 1,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-006680 · rdgdoc.xml · nonDerivative · entry 1 CHIU THOMAS C T · CIK 0001185974 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,520 F1 · shares: Grant of fully vested common stock of CATY. F2 · balance_after: 1,782 shares were transferred to Living Trust as indirect ownership on 4/1/16. 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.