Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATHAY GENERAL BANCORPCATY · Entity 2261 | EVP/CFO | June 27, 2025 | July 02, 2025 |
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 27, 2025 · Filed July 02, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 3,339 |
Reported balance
After 2025-06-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-06-27 · Grant · Acquired 3,339 · Balance 3,339 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, 2027, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2026 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 | 3,437 |
Reported balance
After 2025-06-27 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-06-27 · Grant · Acquired 3,437 · Balance 3,437 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, 2027, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2026 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 | 6,875 |
Reported balance
After 2025-06-27 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-06-27 · Grant · Acquired 6,875 · Balance 6,875 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, 2027, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2026 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 | Direct | 191,040 |
Reported balance
Holding disclosure · report date 2025-06-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 191,040 |
| Common StockSEC Table I · non-derivative | IndirectChen Trust | 100 |
Reported balance
Holding disclosure · report date 2025-06-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 100 |
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, 2027, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2026 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 |
|---|---|---|---|---|---|---|
| March 03, 2022 Filed Mar 3, 2022 23:59 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 2,486 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-22-005213 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,866 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: The Reporting Person previously reported the award of 2,486 restricted stock units, on Form 4 filed March 5, 2021. Such restricted stock units were fully vested and distributed on March 3, 2022. Read SEC document |
| July 22, 2021 Filed Jul 26, 2021 23:14 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 7,517 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-21-017594 · rdgdoc.xml · derivative · entry 4 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,517 Underlying: Common Stock · 7,517 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2022 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2022 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| July 22, 2021 Filed Jul 26, 2021 23:14 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 3,758 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-21-017594 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,758 Underlying: Common Stock · 3,758 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2022 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2022 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| July 22, 2021 Filed Jul 26, 2021 23:14 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 3,537 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-21-017594 · rdgdoc.xml · derivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,537 Underlying: Common Stock · 3,537 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2022 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2022 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 22:32 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 6,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-008286 · rdgdoc.xml · derivative · entry 6 CHEN HENG W · CIK 0001207193 · EVP/CFO 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 March 15, 2018. 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 March 19, 2018. F2 · shares: Of the previously reported target award of 6,420 shares of performance-based restricted stock units, 92.612% of the target award was earned based upon the achievement of certain performance criteria. F4 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2020. F4 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2020. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 22:32 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 3,217 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-008286 · rdgdoc.xml · derivative · entry 5 CHEN HENG W · CIK 0001207193 · EVP/CFO 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. F3 · 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 26, 2017. 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 28, 2017. F1 · shares: Of the previously reported target award of 3,217 shares of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F4 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2020. F4 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2020. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 22:32 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 2,289 | $41.48 | $94,947.72 |
DisclosureSEC source: 0001437749-21-008286 · rdgdoc.xml · nonDerivative · entry 4 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,380 Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 22:32 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 6,618 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-008286 · rdgdoc.xml · nonDerivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,669 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 · shares: Of the previously reported target award of 6,420 shares of performance-based restricted stock units, 92.612% of the target award was earned based upon the achievement of certain performance criteria. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 22:32 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 1,869 | $41.48 | $77,526.12 |
DisclosureSEC source: 0001437749-21-008286 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,051 Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 22:32 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 5,402 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-008286 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,920 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 · shares: Of the previously reported target award of 3,217 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 |
| March 15, 2021 Filed Mar 17, 2021 23:22 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 3,386 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-006372 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 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. F2 · 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 26, 2017. 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 28, 2017. F1 · shares: Of the previously reported target award of 3,386 shares of performance-based restricted stock units, 56% 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, 2020. F3 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2020. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 23:22 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 731 | $43.37 | $31,703.47 |
DisclosureSEC source: 0001437749-21-006372 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,518 Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 23:22 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 2,134 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-006372 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,249 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 · shares: Of the previously reported target award of 3,386 shares of performance-based restricted stock units, 56% of the target award was earned based upon the achievement of certain performance criteria. Read SEC document |
| March 03, 2021 Filed Mar 5, 2021 23:33 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 2,486 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-005195 · rdgdoc.xml · derivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,486 Underlying: Common Stock · 2,486 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock upon vesting. F2 · derivative.exercise_date: On March 3, 2021, the Issuer granted the Reporting Person 2,486 restricted stock units (the "RSUs"), in lieu of a partial 2020 cash bonus, in accordance with the terms and conditions of the Issuer's incentive plan. The RSUs vested on the same day, and will be distributed on March 3, 2022, or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. F2 · derivative.expiration_date: On March 3, 2021, the Issuer granted the Reporting Person 2,486 restricted stock units (the "RSUs"), in lieu of a partial 2020 cash bonus, in accordance with the terms and conditions of the Issuer's incentive plan. The RSUs vested on the same day, and will be distributed on March 3, 2022, or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. Read SEC document |
| September 16, 2020 Filed Sep 18, 2020 20:55 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 9,974 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-20-019906 · rdgdoc.xml · derivative · entry 4 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,974 Underlying: Common Stock · 9,974 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| September 16, 2020 Filed Sep 18, 2020 20:55 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 4,987 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-20-019906 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,987 Underlying: Common Stock · 4,987 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| September 16, 2020 Filed Sep 18, 2020 20:55 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 4,818 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-20-019906 · rdgdoc.xml · derivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,818 Underlying: Common Stock · 4,818 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 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, 2023, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2021 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 21:33 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 3,324 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007159 · rdgdoc.xml · derivative · entry 7 CHEN HENG W · CIK 0001207193 · EVP/CFO 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 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 21:33 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 6,648 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007159 · rdgdoc.xml · derivative · entry 6 CHEN HENG W · CIK 0001207193 · EVP/CFO 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 6,648 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 21:33 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 3,461 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007159 · rdgdoc.xml · derivative · entry 5 CHEN HENG W · CIK 0001207193 · EVP/CFO 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 3,461 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 21:33 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 7,630 | $21.68 | $165,418.40 |
DisclosureSEC source: 0001437749-20-007159 · rdgdoc.xml · nonDerivative · entry 4 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,115 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 21:33 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 5,469 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007159 · rdgdoc.xml · nonDerivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,745 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 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 21:33 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 10,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007159 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,276 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 6,648 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 21:33 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 5,651 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-007159 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,338 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 3,461 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 |
| July 18, 2019 Filed Jul 22, 2019 23:24 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 7,647 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-014391 · rdgdoc.xml · derivative · entry 4 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,647 Underlying: Common Stock · 7,647 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 23:24 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 3,823 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-014391 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 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 23:24 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 3,653 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-014391 · rdgdoc.xml · derivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,653 Underlying: Common Stock · 3,653 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 23:25 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 985 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004823 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 985 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 964 restricted stock units, based on a closing stock price as of March 9, 2018, on Form 4 filed March 13, 2018. The actual number of restricted stock units issued was 985 based on a closing stock price as of March 8, 2018. In addition, such restricted stock units actually vested in full on the date of grant, with the shares of common stock to be distributed on the first anniversary of the date of the grant or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. F4 · derivative.expiration_date: The Reporting Person previously reported the award of 964 restricted stock units, based on a closing stock price as of March 9, 2018, on Form 4 filed March 13, 2018. The actual number of restricted stock units issued was 985 based on a closing stock price as of March 8, 2018. In addition, such restricted stock units actually vested in full on the date of grant, with the shares of common stock to be distributed on the first anniversary of the date of the grant or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 23:25 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 341 | $36.53 | $12,456.73 |
DisclosureSEC source: 0001437749-19-004823 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,687 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 23:25 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 985 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004823 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,028 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 23:37 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 7,396 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004115 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,396 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 4 filed by the Reporting Person with the Securities and Exchange Commission on December 21, 2015. F2 · shares: Of the previously reported target award of 7,396 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 23:37 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 4,121 | $38.36 | $158,081.56 |
DisclosureSEC source: 0001437749-19-004115 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,043 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 23:37 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 11,917 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004115 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,164 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 4 filed by the Reporting Person with the Securities and Exchange Commission on December 21, 2015. Read SEC document |
| January 02, 2019 Filed Jan 3, 2019 22:24 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 7,885 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-000221 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,885 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 4 filed by the Reporting Person with the Securities and Exchange Commission on December 21, 2015. F2 · shares: Of the previously reported target award of 7,885 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 22:24 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 2,583 | $33.53 | $86,607.99 |
DisclosureSEC source: 0001437749-19-000221 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,247 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 4 filed by the Reporting Person with the Securities and Exchange Commission on December 21, 2015. 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 22:24 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 6,812 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-000221 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,830 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 4 filed by the Reporting Person with the Securities and Exchange Commission on December 21, 2015. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 23:20 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 6,420 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-18-004998 · rdgdoc.xml · derivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,420 Underlying: Common Stock · 6,420 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Common Stock uppn 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 uppn 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 uppn 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 22:13 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 964 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-004541 · rdgdoc.xml · derivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 964 Underlying: Common Stock · 964 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock upon vesting. F2 · derivative.exercise_date: On March 9, 2018, the Issuer granted to the Reporting Person 964 restricted stock units that will vest, in full, on March 9, 2019, or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. F2 · derivative.expiration_date: On March 9, 2018, the Issuer granted to the Reporting Person 964 restricted stock units that will vest, in full, on March 9, 2019, or immediately upon the death, disability or retirement of the Reporting Person, or a change in control of the Issuer. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 17:18 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 8,173 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-003874 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 8,173 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, 2014. 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 24, 2014. F3 · shares: Of the previously reported target award of 8,173 shares of restricted stock unit, 110.641% of the target award was earned based upon the achievement of certain performance criteria. F4 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2017. F4 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2017. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 17:18 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 3,357 | $41.22 | $138,375.54 |
DisclosureSEC source: 0001437749-18-003874 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,018 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 17:18 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 9,707 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-003874 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,375 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, 2014. 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 24, 2014. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 00:17 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 8,572 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-000210 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 8,572 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, 2014. 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 24, 2014. F3 · shares: Of this previously reported target award of performance-based restricted stock units, 150% of the target award was earned based upon the achievement of certain performance criteria. F4 · derivative.exercise_date: Performance-based restricted stock units vested on December 31, 2017. F4 · derivative.expiration_date: Performance-based restricted stock units vested on December 31, 2017. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 00:17 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 5,351 | $42.64 | $228,166.64 |
DisclosureSEC source: 0001437749-18-000210 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,668 F2 · kind: Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 00:17 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 13,777 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-000210 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,019 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, 2014. 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 24, 2014. Read SEC document |
| December 26, 2017 Filed Dec 28, 2017 23:59 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 3,217 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-17-021263 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,217 Underlying: Common Stock · 3,217 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| December 26, 2017 Filed Dec 28, 2017 23:59 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 3,386 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-17-021263 · rdgdoc.xml · derivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,386 Underlying: Common Stock · 3,386 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 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, 2020, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2019 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 21:16 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 14,285 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · derivative · entry 6 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,285 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. F4 · shares: Of the previously reported target award of 14,285 shares of performance-based restricted stock units, 150% 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 21:16 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionRestricted Stock Units · Derivative | 14,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · derivative · entry 5 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,734 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 14,734 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 21:16 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 10,493 | $39.42 | $413,634.06 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · nonDerivative · entry 4 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,242 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 21:16 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 22,586 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · nonDerivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,735 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.