Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATHAY GENERAL BANCORPCATY · Entity 2261 | Director · Executive Chairman | June 26, 2026 | June 30, 2026 |
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 June 26, 2026 · Filed June 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 4,875 |
Reported balance
After 2026-06-26 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-06-26 · Grant · Acquired 4,875 · Balance 4,875 F1: 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: These restricted stock units are scheduled to vest in a single installment on December 31, 2028, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2027 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 4,593 |
Reported balance
After 2026-06-26 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-06-26 · Grant · Acquired 4,593 · Balance 4,593 F1: 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: These restricted stock units are scheduled to vest in a single installment on December 31, 2028, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2027 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 9,186 |
Reported balance
After 2026-06-26 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-06-26 · Grant · Acquired 9,186 · Balance 9,186 F1: 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: These restricted stock units are scheduled to vest in a single installment on December 31, 2028, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2027 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. |
| Common StockSEC Table I · non-derivative | IndirectHusband & Wife Trust | 384,577 |
Reported balance
Holding disclosure · report date 2026-06-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 384,577 |
| Common StockSEC Table I · non-derivative | IndirectNonmarital Share Trust | 182,452 |
Reported balance
Holding disclosure · report date 2026-06-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 182,452 |
| Common StockSEC Table I · non-derivative | IndirectBy ESOP | 102,888 |
Reported balance
Holding disclosure · report date 2026-06-26 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 102,888 |
| Common StockSEC Table I · non-derivative | Direct | 167,531 |
Reported balance
Holding disclosure · report date 2026-06-26 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 167,531 |
Filing footnotes · ownership attribution and instrument terms
F1: 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: These restricted stock units are scheduled to vest in a single installment on December 31, 2028, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2027 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.
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 |
|---|---|---|---|---|---|---|
| November 22, 2016 Filed Nov 22, 2016 23:30 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 20,000 | $23.37 | $467,400.00 |
DisclosureSEC source: 0001437749-16-042545 · rdgdoc.xml · nonDerivative · entry 4 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,907 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 |
| November 21, 2016 Filed Nov 22, 2016 23:30 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionStock Option · Derivative | 20,000 | $0.00 Strike: $23.37 | $0.00 |
DisclosureSEC source: 0001437749-16-042545 · rdgdoc.xml · derivative · entry 9 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,970 Underlying: Common Stock · 20,000 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 |
| November 21, 2016 Filed Nov 22, 2016 23:30 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 10,000 | $35.55 | $355,485.00 |
DisclosureSEC source: 0001437749-16-042545 · rdgdoc.xml · nonDerivative · entry 3 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,907 Read SEC document |
| November 21, 2016 Filed Nov 22, 2016 23:30 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 10,000 | $35.52 | $355,225.00 |
DisclosureSEC source: 0001437749-16-042545 · rdgdoc.xml · nonDerivative · entry 2 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,907 Read SEC document |
| November 21, 2016 Filed Nov 22, 2016 23:30 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 20,000 | $23.37 | $467,400.00 |
DisclosureSEC source: 0001437749-16-042545 · rdgdoc.xml · nonDerivative · entry 1 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,907 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 |
| November 18, 2016 Filed Nov 21, 2016 23:31 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionStock Option · Derivative | 22,500 | $0.00 Strike: $23.37 | $0.00 |
DisclosureSEC source: 0001437749-16-042485 · rdgdoc.xml · derivative · entry 9 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,970 Underlying: Common Stock · 22,500 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 |
| November 18, 2016 Filed Nov 21, 2016 23:31 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 22,500 | $35.71 | $803,502.00 |
DisclosureSEC source: 0001437749-16-042485 · rdgdoc.xml · nonDerivative · entry 4 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,907 Read SEC document |
| November 18, 2016 Filed Nov 21, 2016 23:31 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 22,500 | $23.37 | $525,825.00 |
DisclosureSEC source: 0001437749-16-042485 · rdgdoc.xml · nonDerivative · entry 3 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 266,407 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 |
| November 17, 2016 Filed Nov 21, 2016 23:31 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionStock Option · Derivative | 5,000 | $0.00 Strike: $23.37 | $0.00 |
DisclosureSEC source: 0001437749-16-042485 · rdgdoc.xml · derivative · entry 8 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,470 Underlying: Common Stock · 5,000 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 |
| November 17, 2016 Filed Nov 21, 2016 23:31 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 5,000 | $35.18 | $175,896.00 |
DisclosureSEC source: 0001437749-16-042485 · rdgdoc.xml · nonDerivative · entry 2 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,907 Read SEC document |
| November 17, 2016 Filed Nov 21, 2016 23:31 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 5,000 | $23.37 | $116,850.00 |
DisclosureSEC source: 0001437749-16-042485 · rdgdoc.xml · nonDerivative · entry 1 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,907 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 |
| November 16, 2016 Filed Nov 17, 2016 23:39 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionStock Option · Derivative | 7,500 | $0.00 Strike: $23.37 | $0.00 |
DisclosureSEC source: 0001437749-16-042361 · rdgdoc.xml · derivative · entry 9 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,470 Underlying: Common Stock · 7,500 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 |
| November 16, 2016 Filed Nov 17, 2016 23:39 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 7,500 | $35.01 | $262,539.75 |
DisclosureSEC source: 0001437749-16-042361 · rdgdoc.xml · nonDerivative · entry 4 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,907 Read SEC document |
| November 16, 2016 Filed Nov 17, 2016 23:39 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 7,500 | $23.37 | $175,275.00 |
DisclosureSEC source: 0001437749-16-042361 · rdgdoc.xml · nonDerivative · entry 3 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,407 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 |
| November 15, 2016 Filed Nov 17, 2016 23:39 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionStock Option · Derivative | 5,000 | $0.00 Strike: $23.37 | $0.00 |
DisclosureSEC source: 0001437749-16-042361 · rdgdoc.xml · derivative · entry 8 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,970 Underlying: Common Stock · 5,000 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 |
| November 15, 2016 Filed Nov 17, 2016 23:39 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 5,000 | $35.26 | $176,315.50 |
DisclosureSEC source: 0001437749-16-042361 · rdgdoc.xml · nonDerivative · entry 2 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,907 Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 23:39 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 5,000 | $23.37 | $116,850.00 |
DisclosureSEC source: 0001437749-16-042361 · rdgdoc.xml · nonDerivative · entry 1 CHENG DUNSON K · CIK 0001185628 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,907 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.