Filing Details
- Accession Number:
- 0001437749-16-042688
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-28 19:04:32
- Reporting Period:
- 2016-11-23
- Filing Date:
- 2016-11-28
- Accepted Time:
- 2016-11-28 19:04:32
- 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 |
|---|---|---|---|---|---|---|---|
| 1185628 | K Dunson Cheng | 777 North Broadway Los Angeles CA 90012 | Executive Chairman | Yes | 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 | 2016-11-23 | 50,000 | $23.37 | 293,907 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-23 | 50,000 | $35.87 | 243,907 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-25 | 24,970 | $23.37 | 268,877 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-25 | 24,970 | $36.21 | 243,907 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-28 | 20,000 | $23.37 | 263,907 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-28 | 20,000 | $35.82 | 243,907 | 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 | 2016-11-23 | 50,000 | $0.00 | 50,000 | $23.37 |
| Common Stock | Stock Option | Disposition | 2016-11-25 | 24,970 | $0.00 | 24,970 | $23.37 |
| Common Stock | Stock Option | Disposition | 2016-11-28 | 20,000 | $0.00 | 20,000 | $23.37 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 124,970 | 2009-02-21 | 2018-02-21 | No | 4 | M | Direct |
| 100,000 | 2009-02-21 | 2018-02-21 | No | 4 | M | Direct |
| 80,000 | 2009-02-21 | 2018-02-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 445,577 | Indirect | Husband & Wife Trust |
| Common Stock | 182,452 | Indirect | Nonmarital Share Trust |
| Common Stock | 102,904 | Indirect | By ESOP |
Footnotes
- The option is fully exercisable.
Billionaire Hedge Funds
