Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATHAY GENERAL BANCORPCATY · Entity 2261 | EVP, General Counsel | April 01, 2020 | April 03, 2020 |
| EAST WEST BANCORP INCEWBC · Entity 3302 | Executive Vice President | January 23, 2026 | January 27, 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 April 01, 2020 · Filed April 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,641 |
Ending reported balance
After 2020-04-01 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2020-04-01 · Exercise / conversion · Acquired 2,825 · Balance 3,253 F1: Of the previously reported target award of 1,730 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria. Row 2 · 2020-04-01 · Exercise / conversion · Acquired 5,469 · Balance 8,722 F2: Of the previously reported target award of 3,324 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. Row 3 · 2020-04-01 · Exercise / conversion · Acquired 2,734 · Balance 11,456 F3: Of the previously reported target award of 1,662 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 · Tax withholding · Disposed 3,815 · Balance 7,641 F4: 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 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-04-01 · Exercise / conversion · Disposed 1,730 · Balance 0 F5: 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. F1: Of the previously reported target award of 1,730 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria. F6: 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 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-04-01 · Exercise / conversion · Disposed 3,324 · Balance 0 F5: 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 3,324 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F6: 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 1,662 · Balance 0 F5: 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 1,662 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F6: Performance-based restricted stock units vested on December 31, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: Of the previously reported target award of 1,730 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria.
F2: Of the previously reported target award of 3,324 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
F3: Of the previously reported target award of 1,662 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria.
F4: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units.
F5: 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.
F6: Performance-based restricted stock units vested on December 31, 2019.
EAST WEST BANCORP INC
Report date January 23, 2026 · Filed January 27, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,866 |
Ending reported balance
After 2026-01-23 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-01-23 · Exercise / conversion · Acquired 29 · Balance 14,878 F1: Time-Based Restricted Stock Units granted on January 23, 2023, with full cliff vesting in three years on January 23, 2026, pursuant to the Issuer's Spirit of Ownership stock program. Row 2 · 2026-01-23 · Tax withholding · Disposed 12 · Balance 14,866 F2: Shares withheld for payment of tax liability in connection with the vesting of Time-Based Restricted Stock Units pursuant to the Issuer's Spirit of Ownership stock program. The number of shares withheld was based on the closing price of the Issuer's common stock on January 23, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Time-Based Restricted Stock Units granted on January 23, 2023, with full cliff vesting in three years on January 23, 2026, pursuant to the Issuer's Spirit of Ownership stock program.
F2: Shares withheld for payment of tax liability in connection with the vesting of Time-Based Restricted Stock Units pursuant to the Issuer's Spirit of Ownership stock program. The number of shares withheld was based on the closing price of the Issuer's common stock on January 23, 2026.
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 |
|---|---|---|---|---|---|---|
| January 23, 2026 Filed Jan 27, 2026 01:31 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | Tax withholdingCommon Stock | 12 | $111.35 | $1,336.20 |
DisclosureSEC source: 0001738532-26-000002 · wk-form4_1769477488.xml · nonDerivative · entry 2 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,866 F2 · shares: Shares withheld for payment of tax liability in connection with the vesting of Time-Based Restricted Stock Units pursuant to the Issuer's Spirit of Ownership stock program. The number of shares withheld was based on the closing price of the Issuer's common stock on January 23, 2026. Read SEC document |
| January 23, 2026 Filed Jan 27, 2026 01:31 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | Exercise / conversionCommon Stock | 29 | $0.00 | $0.00 |
DisclosureSEC source: 0001738532-26-000002 · wk-form4_1769477488.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,878 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 · price: Time-Based Restricted Stock Units granted on January 23, 2023, with full cliff vesting in three years on January 23, 2026, pursuant to the Issuer's Spirit of Ownership stock program. Read SEC document |
| May 15, 2025 Filed May 15, 2025 23:33 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | SaleCommon Stock | 2,100 | $95.04 | $199,584.00 |
DisclosureSEC source: 0001069157-25-000058 · wk-form4_1747351990.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,849 F1 · price: A total of 2,100 shares were sold at a weighted average price of $95.0412 per share. Read SEC document |
| March 04, 2025 Filed Mar 7, 2025 00:20 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | Tax withholdingCommon Stock | 841 | $90.30 | $75,942.30 |
DisclosureSEC source: 0001069157-25-000035 · wk-form4_1741306849.xml · nonDerivative · entry 2 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,949 F2 · shares: Shares withheld for payment of tax liability in connection with the vesting of Restricted Stock Units. The number of shares withheld was based on the closing price of the issuer's common stock on March 4, 2025. Read SEC document |
| March 04, 2025 Filed Mar 7, 2025 00:20 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | GrantCommon Stock | 2,265 | $0.00 | $0.00 |
DisclosureSEC source: 0001069157-25-000035 · wk-form4_1741306849.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,790 F1 · price: Restricted Stock Units granted on March 4, 2022 fully vest after three years on March 4, 2025. Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock. Read SEC document |
| February 01, 2025 Filed Feb 5, 2025 01:09 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | Tax withholdingCommon Stock | 10 | $102.97 | $1,029.70 |
DisclosureSEC source: 0001069157-25-000019 · wk-form4_1738717777.xml · nonDerivative · entry 2 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,525 F2 · shares: Shares withheld for payment of tax liability in connection with the vesting of Time-Based Restricted Stock Units pursuant to the Issuer's Spirit of Ownership stock program. The number of shares withheld was based on the closing price of the issuer's common stock on January 31, 2025 since February 1, 2025 was a Saturday. Read SEC document |
| February 01, 2025 Filed Feb 5, 2025 01:09 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | Exercise / conversionCommon Stock | 23 | $0.00 | $0.00 |
DisclosureSEC source: 0001069157-25-000019 · wk-form4_1738717777.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,535 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 · price: Time-Based Restricted Stock Units granted on February 1, 2022, with full cliff vesting in three years on February 1, 2025, pursuant to the Issuer's Spirit of Ownership stock program. Read SEC document |
| November 07, 2024 Filed Nov 8, 2024 21:55 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | SaleCommon Stock | 3,379 | $103.59 | $350,030.61 |
DisclosureSEC source: 0001069157-24-000113 · wk-form4_1731102918.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,512 F1 · price: A total of 3,379 shares were sold at a weighted average price of $103.5900 per share. Read SEC document |
| August 02, 2024 Filed Aug 2, 2024 22:46 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | SaleCommon Stock | 6,000 | $78.68 | $472,080.00 |
DisclosureSEC source: 0001069157-24-000087 · wk-form4_1722638799.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,891 F1 · price: A total of 6,000 shares were sold at a weighted average price of $78.6818 per share. Read SEC document |
| March 04, 2024 Filed Mar 7, 2024 02:01 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | Tax withholdingCommon Stock | 915 | $73.22 | $66,996.30 |
DisclosureSEC source: 0001069157-24-000024 · wk-form4_1709776855.xml · nonDerivative · entry 2 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,891 F2 · shares: Shares withheld for payment of tax liability in connection with the vesting of Restricted Stock Units. The number of shares withheld was based on the closing price of the issuer's common stock on March 4, 2024. Read SEC document |
| March 04, 2024 Filed Mar 7, 2024 02:01 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | GrantCommon Stock | 2,402 | $0.00 | $0.00 |
DisclosureSEC source: 0001069157-24-000024 · wk-form4_1709776855.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,806 F1 · price: Restricted Stock Units ("RSU") granted on March 4, 2021 fully vest after three years on March 4, 2024. Each RSU represents the right to receive, at settlement, one share of common stock. Read SEC document |
| February 12, 2024 Filed Feb 14, 2024 00:10 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | Tax withholdingCommon Stock | 12 | $71.63 | $859.56 |
DisclosureSEC source: 0001069157-24-000005 · wk-form4_1707869425.xml · nonDerivative · entry 2 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,404 F2 · shares: Shares withheld for payment of tax liability in connection with the vesting of Time-Based Restricted Stock Units pursuant to the Issuer's Spirit of Ownership stock program. The number of shares withheld was based on the closing price of the issuer's common stock on February 12, 2024. Read SEC document |
| February 12, 2024 Filed Feb 14, 2024 00:10 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | Exercise / conversionCommon Stock | 30 | $0.00 | $0.00 |
DisclosureSEC source: 0001069157-24-000005 · wk-form4_1707869425.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,416 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 · price: Time-Based Restricted Stock Units granted on February 12, 2021, with full cliff vesting in three years on February 12, 2024, pursuant to the Issuer's Spirit of Ownership stock program. Read SEC document |
| April 06, 2023 Filed Apr 7, 2023 00:39 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | Tax withholdingCommon Stock | 18,494 | $53.02 | $980,551.88 |
DisclosureSEC source: 0001069157-23-000035 · wf-form4_168082796435132.xml · nonDerivative · entry 2 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,386 Read SEC document |
| April 06, 2023 Filed Apr 7, 2023 00:39 UTC | EAST WEST BANCORP INC EWBC · Entity 3302 | GrantCommon Stock | 41,880 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001069157-23-000035 · wf-form4_168082796435132.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · Executive Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,880 F1 · price: Restricted Stock Units ("RSU") granted on April 6, 2020 fully vest after three years on April 6, 2023. Each RSU represents the right to receive, at settlement, one share of common stock. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 21:36 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 1,662 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007162 · rdgdoc.xml · derivative · entry 7 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 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. F5 · 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 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 · shares: Of the previously reported target award of 1,662 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F6 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2019. F6 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2019. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 21:36 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 3,324 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007162 · rdgdoc.xml · derivative · entry 6 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 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. F5 · 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 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 · shares: Of the previously reported target award of 3,324 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F6 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2019. F6 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2019. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 21:36 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 1,730 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007162 · rdgdoc.xml · derivative · entry 5 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 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. F5 · 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 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. F1 · shares: Of the previously reported target award of 1,730 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria. F6 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2019. F6 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2019. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 21:36 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 3,815 | $21.68 | $82,709.20 |
DisclosureSEC source: 0001437749-20-007162 · rdgdoc.xml · nonDerivative · entry 4 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,641 F4 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 21:36 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 2,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007162 · rdgdoc.xml · nonDerivative · entry 3 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,456 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. F3 · kind: Of the previously reported target award of 1,662 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 21:36 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 5,469 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007162 · rdgdoc.xml · nonDerivative · entry 2 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,722 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 · kind: Of the previously reported target award of 3,324 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 21:36 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 2,825 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007162 · rdgdoc.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,253 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: Of the previously reported target award of 1,730 shares of performance-based restricted stock units, 148% of the target award was earned based upon the achievement of certain performance criteria. Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 21:59 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 1,360 | $37.04 | $50,372.90 |
DisclosureSEC source: 0001437749-20-001909 · rdgdoc.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428 Read SEC document |
| November 05, 2019 Filed Nov 7, 2019 22:25 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 1,500 | $37.12 | $55,675.20 |
DisclosureSEC source: 0001437749-19-021996 · rdgdoc.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,788 Read SEC document |
| September 10, 2019 Filed Sep 12, 2019 23:56 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 3,745 | $34.70 | $129,951.50 |
DisclosureSEC source: 0001437749-19-018335 · rdgdoc.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,288 Read SEC document |
| July 18, 2019 Filed Jul 22, 2019 23:39 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 3,823 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-014399 · rdgdoc.xml · derivative · entry 4 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,823 Underlying: Common Stock · 3,823 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 January 31, 2022, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2020 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 January 31, 2022, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2020 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| July 18, 2019 Filed Jul 22, 2019 23:39 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 1,911 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-014399 · rdgdoc.xml · derivative · entry 3 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,911 Underlying: Common Stock · 1,911 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 January 31, 2022, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2020 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 January 31, 2022, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2020 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| July 18, 2019 Filed Jul 22, 2019 23:39 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 1,826 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-014399 · rdgdoc.xml · derivative · entry 2 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,826 Underlying: Common Stock · 1,826 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 January 31, 2022, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2020 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 January 31, 2022, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2020 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:38 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 453 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004833 · rdgdoc.xml · derivative · entry 3 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 453 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 453 shares of restricted stock units on Form 3 filed April 26, 2018. Such restricted stock units vested in full on the date of the grant, and shares of common stock distributed on the first anniversary of the date of the grant. F4 · derivative.expiration_date: The Reporting Person previously reported the award of 453 shares of restricted stock units on Form 3 filed April 26, 2018. Such restricted stock units vested in full on the date of the grant, and shares of common stock distributed on the first anniversary of the date of the grant. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:38 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 157 | $36.53 | $5,735.21 |
DisclosureSEC source: 0001437749-19-004833 · rdgdoc.xml · nonDerivative · entry 2 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,033 F3 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:38 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 453 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004833 · rdgdoc.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,190 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: Represents the conversion into Common Stock upon vesting of the restricted stock units reported on Table II. F2 · price: Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 23:46 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 3,706 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004121 · rdgdoc.xml · derivative · entry 3 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,706 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 17, 2015. Such restricted stock units were previously reported in Table II on a Form 3 filed by the Reporting Person with the Securities and Exchange Commission on April 26, 2018. F2 · shares: Of the previously reported target award of 3,706 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F3 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2018. F3 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2018. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 23:46 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 2,056 | $38.36 | $78,868.16 |
DisclosureSEC source: 0001437749-19-004121 · rdgdoc.xml · nonDerivative · entry 2 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,737 F4 · kind: Shares withheld by Registrant to satisfy tax withholding requirement on vesting of restricted stock units. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 23:46 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 5,971 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004121 · rdgdoc.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,793 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 17, 2015. Such restricted stock units were previously reported in Table II on a Form 3 filed by the Reporting Person with the Securities and Exchange Commission on April 26, 2018. Read SEC document |
| January 02, 2019 Filed Jan 3, 2019 22:34 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 3,951 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-000231 · rdgdoc.xml · derivative · entry 3 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,951 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 17, 2015. Such restricted stock units were previously reported in Table II on a Form 3 filed by the Reporting Person with the Securities and Exchange Commission on April 26, 2018. F2 · shares: Of the previously reported target award of 3,951 shares of performance-based restricted stock units, 80% of the target award was earned based upon the achievement of certain performance criteria. F3 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2018. F3 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2018. Read SEC document |
| January 02, 2019 Filed Jan 3, 2019 22:34 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 1,396 | $33.53 | $46,807.88 |
DisclosureSEC source: 0001437749-19-000231 · rdgdoc.xml · nonDerivative · entry 2 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,822 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 17, 2015. Such restricted stock units were previously reported in Table II on a Form 3 filed by the Reporting Person with the Securities and Exchange Commission on April 26, 2018. F4 · shares: Shares withheld by the Registrant to satisfy tax withholding requirements on vesting of restricted stock units, based on closing price on December 31, 2018. Read SEC document |
| January 02, 2019 Filed Jan 3, 2019 22:34 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 3,413 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-000231 · rdgdoc.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,218 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 17, 2015. Such restricted stock units were previously reported in Table II on a Form 3 filed by the Reporting Person with the Securities and Exchange Commission on April 26, 2018. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 23:46 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 750 | $42.06 | $31,542.38 |
DisclosureSEC source: 0001437749-18-015411 · rdgdoc.xml · nonDerivative · entry 1 Kim Lisa L. · CIK 0001738532 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 805 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.