Filing Details
- Accession Number:
- 0001262063-13-000318
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-28 14:53:43
- Reporting Period:
- 2013-10-25
- Filing Date:
- 2013-10-28
- Accepted Time:
- 2013-10-28 14:53:43
- 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 |
|---|---|---|---|---|---|---|---|
| 1185626 | L Kelly Chan | 777 North Broadway Los Angeles CA 90012 | Yes | No | 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 | 2013-10-25 | 1,000 | $25.56 | 28,096 | No | 4 | P | Indirect | Partner - Chansons Properties |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Partner - Chansons Properties |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 90,480 | Direct | |
| Common Stock | 9,800 | Indirect | By spouse |
| Common Stock | 58,288 | Indirect | Living Trust |
| Common Stock | 13,140 | Indirect | As custodian for son |
| Common Stock | 200,000 | Indirect | Trustee - WHFC Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | $24.80 | 2004-11-20 | 2013-11-20 | 11,000 | 11,000 | Direct |
| Common Stock | Stock Option | $37.00 | 2006-02-17 | 2015-02-17 | 3,500 | 14,500 | Direct |
| Common Stock | Stock Option | $36.24 | 2007-01-25 | 2016-01-25 | 3,500 | 18,000 | Direct |
| Common Stock | Stock Option | $23.37 | 2009-02-21 | 2018-02-21 | 3,500 | 21,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2013-11-20 | 11,000 | 11,000 | Direct |
| 2015-02-17 | 3,500 | 14,500 | Direct |
| 2016-01-25 | 3,500 | 18,000 | Direct |
| 2018-02-21 | 3,500 | 21,500 | Direct |
Footnotes
- The option is fully exercisable.
- The option vests in 5 equal annual installments beginning 2/21/09.
Billionaire Hedge Funds
