Filing Details
- Accession Number:
- 0001437749-15-015020
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-08-06 13:02:11
- Reporting Period:
- 2015-08-04
- Filing Date:
- 2015-08-06
- Accepted Time:
- 2015-08-06 13:02:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1186026 | Peter Wu | 777 North Broadway Los Angeles CA 90012 | Vice 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 | 2015-08-04 | 20,000 | $23.37 | 32,976 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-08-04 | 20,000 | $32.58 | 12,976 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-08-05 | 10,000 | $23.37 | 22,976 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-08-05 | 10,000 | $32.66 | 12,976 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2015-08-04 | 20,000 | $0.00 | 72,230 | $23.37 |
| Common Stock | Stock Option | Disposition | 2015-08-05 | 10,000 | $0.00 | 52,230 | $23.37 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 52,230 | 2009-02-21 | 2018-02-21 | No | 4 | M | Direct |
| 42,230 | 2009-02-21 | 2018-02-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 857,799 | Indirect | By PACJU LLC |
| Common Stock | 28,412 | Indirect | Wu Family Trust |
Footnotes
- 1,634 shares were transferred from direct ownership to Family Trust as indirect ownership on 4/1/15.
- A Delaware limited liability company of which the Wu Family Trust serves as Manager and hold a 51.5% interest, with the reporting person and his spouse each holding a 5% ownership interest in PACJU in their own names. The balance of the interests in PACJU will be held by the reporting person's adult children, none of whom shares a household with the reporting person. The reporting person disclaims beneficial ownership of CATY Stock held by PACJU except the extent of his pecuniary interest therein.
- The option is fully exercisable.
Billionaire Hedge Funds
