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 |
|---|---|---|---|---|---|---|
| February 17, 2017 Filed Feb 22, 2017 21:16 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Tax withholdingCommon Stock | 6,305 | $39.42 | $248,543.10 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,149 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 | 16,514 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002981 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,454 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Shares of the Issuer's Common Stock received by the Reporting Person from the vesting of performance-based restricted stock units granted on December 18, 2013. Such restricted stock units were previously reported in Table II on a Form 4 filed by the Reporting Person with the Securities and Exchange Commission on December 20, 2013. Read SEC document |
| December 15, 2016 Filed Dec 20, 2016 00:15 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 3,324 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-16-043536 · rdgdoc.xml · derivative · entry 4 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,324 Underlying: Common Stock · 3,324 shares Expires not disclosed F2 · 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. F2 · 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. F2 · 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. F3 · derivative.exercise_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. F3 · derivative.expiration_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| December 15, 2016 Filed Dec 20, 2016 00:15 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 3,461 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-16-043536 · rdgdoc.xml · derivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,461 Underlying: Common Stock · 3,461 shares Expires not disclosed F2 · 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. F2 · 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. F2 · 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. F3 · derivative.exercise_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. F3 · derivative.expiration_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| December 15, 2016 Filed Dec 20, 2016 00:15 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | GrantRestricted Stock Units · Derivative | 6,648 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-16-043536 · rdgdoc.xml · derivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,648 Underlying: Common Stock · 6,648 shares Expires not disclosed F2 · 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. F2 · 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. F2 · 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. F3 · derivative.exercise_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. F3 · derivative.expiration_date: These restricted stock units are scheduled to vest in a single installment on December 31, 2019, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2018 or a change in control, with the number of units earned being based on the achievement of certain performance criteria. Read SEC document |
| November 16, 2016 Filed Nov 16, 2016 23:27 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionStock Option · Derivative | 10,000 | $0.00 Strike: $23.37 | $0.00 |
DisclosureSEC source: 0001437749-16-042277 · rdgdoc.xml · derivative · entry 9 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2018-02-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option is fully exercisable. Read SEC document |
| November 16, 2016 Filed Nov 16, 2016 23:27 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 10,000 | $35.04 | $350,418.00 |
DisclosureSEC source: 0001437749-16-042277 · rdgdoc.xml · nonDerivative · entry 6 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,940.37 F1 · balance_after: Includes 188.71 shares acquired through dividend reinvestment year-to-date Read SEC document |
| November 16, 2016 Filed Nov 16, 2016 23:27 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 10,000 | $23.37 | $233,700.00 |
DisclosureSEC source: 0001437749-16-042277 · rdgdoc.xml · nonDerivative · entry 5 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,940.37 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 15, 2016 Filed Nov 16, 2016 23:27 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionStock Option · Derivative | 22,000 | $0.00 Strike: $23.37 | $0.00 |
DisclosureSEC source: 0001437749-16-042277 · rdgdoc.xml · derivative · entry 8 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 22,000 shares Expires 2018-02-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option is fully exercisable. Read SEC document |
| November 15, 2016 Filed Nov 16, 2016 23:27 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 22,000 | $35.24 | $775,174.40 |
DisclosureSEC source: 0001437749-16-042277 · rdgdoc.xml · nonDerivative · entry 4 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,940.37 Read SEC document |
| November 15, 2016 Filed Nov 16, 2016 23:27 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 22,000 | $23.37 | $514,140.00 |
DisclosureSEC source: 0001437749-16-042277 · rdgdoc.xml · nonDerivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,940.37 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 23:27 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionStock Option · Derivative | 12,000 | $0.00 Strike: $23.37 | $0.00 |
DisclosureSEC source: 0001437749-16-042277 · rdgdoc.xml · derivative · entry 7 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 12,000 shares Expires 2018-02-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option is fully exercisable. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 23:27 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | SaleCommon Stock | 12,000 | $35.19 | $422,269.20 |
DisclosureSEC source: 0001437749-16-042277 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,940.37 Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 23:27 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | Exercise / conversionCommon Stock | 12,000 | $23.37 | $280,440.00 |
DisclosureSEC source: 0001437749-16-042277 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,940.37 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 12, 2016 Filed Feb 9, 2017 22:37 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | OtherCommon Stock | 60.249 | $31.16 | $1,877.06 |
DisclosureSEC source: 0001437749-17-002052 · rdgdoc.xml · nonDerivative · entry 3 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,940 F1 · kind: Dividend Reinvestment. Read SEC document |
| June 13, 2016 Filed Feb 9, 2017 22:37 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | OtherCommon Stock | 63.329 | $29.46 | $1,865.67 |
DisclosureSEC source: 0001437749-17-002052 · rdgdoc.xml · nonDerivative · entry 2 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,940 F1 · kind: Dividend Reinvestment. Read SEC document |
| March 11, 2016 Filed Feb 9, 2017 22:37 UTC | CATHAY GENERAL BANCORP CATY · Entity 2261 | OtherCommon Stock | 65.131 | $28.47 | $1,853.95 |
DisclosureSEC source: 0001437749-17-002052 · rdgdoc.xml · nonDerivative · entry 1 CHEN HENG W · CIK 0001207193 · EVP/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,940 F1 · kind: Dividend Reinvestment. 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.