Filing Details
- Accession Number:
- 0001437749-16-042277
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-16 18:27:08
- Reporting Period:
- 2016-11-14
- Filing Date:
- 2016-11-16
- Accepted Time:
- 2016-11-16 18:27:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 861842 | Cathay General Bancorp | CATY | State Commercial Banks (6022) | 954274680 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1207193 | W Heng Chen | 777 North Broadway Los Angeles CA 90012 | Evp/Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-11-14 | 12,000 | $23.37 | 73,940 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-14 | 12,000 | $35.19 | 61,940 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-15 | 22,000 | $23.37 | 83,940 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-15 | 22,000 | $35.24 | 61,940 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-16 | 10,000 | $23.37 | 71,940 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-16 | 10,000 | $35.04 | 61,940 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2016-11-14 | 12,000 | $0.00 | 12,000 | $23.37 |
| Common Stock | Stock Option | Disposition | 2016-11-15 | 22,000 | $0.00 | 22,000 | $23.37 |
| Common Stock | Stock Option | Disposition | 2016-11-16 | 10,000 | $0.00 | 10,000 | $23.37 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 32,000 | 2009-02-21 | 2018-02-21 | No | 4 | M | Direct |
| 10,000 | 2009-02-21 | 2018-02-21 | No | 4 | M | Direct |
| 0 | 2009-02-21 | 2018-02-21 | No | 4 | M | Direct |
Footnotes
- Includes 188.71 shares acquired through dividend reinvestment year-to-date
- The option is fully exercisable.
Billionaire Hedge Funds
