Stock Transactions — CATHAY GEN BANCORP

Total Bought
2,241,981
106 transactions
Total Sold
2,694,703
129 transactions
Net
-452,722
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
▲▼
Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
▲▼
Type
NORGES BANK0850,180+850,1800.000.00+0.00buy
HSBC HOLDINGS PLC0153,091+153,0910.000.00+0.00buy
CIBC WORLD MARKET INC.0131,335+131,3350.000.01+0.01buy
NFJ INVESTMENT GROUP, LLC0114,683+114,6830.000.20+0.20buy
Invesco Ltd.1,579,7191,685,203+105,4840.010.01-0.00buy
D. E. Shaw & Co., Inc.234,399338,019+103,6200.010.01+0.00buy
BESSEMER GROUP INC78172,205+71,4240.000.01+0.01buy
GOLDMAN SACHS GROUP INC512,140580,038+67,8980.000.00+0.00buy
CITADEL ADVISORS LLC159,885218,326+58,4410.010.01+0.00buy
MORGAN STANLEY616,301672,697+56,3960.000.00+0.00buy
AMERICAN CENTURY COMPANIES INC1,292,8151,347,674+54,8590.030.03+0.00buy
Bank of New York Mellon Corp621,493669,527+48,0340.010.01+0.00buy
Convergence Investment Partners, LLC031,093+31,0930.000.30+0.30buy
BALYASNY ASSET MANAGEMENT L.P.7,67431,051+23,3770.000.00+0.00buy
WELLS FARGO & COMPANY/MN56,36679,706+23,3400.000.00+0.00buy
BARCLAYS PLC100,983123,298+22,3150.000.00+0.00buy
Man Group plc020,038+20,0380.000.00+0.00buy
Y-Intercept (Hong Kong) Ltd017,328+17,3280.000.02+0.02buy
Assenagon Asset Management S.A.015,404+15,4040.000.00+0.00buy
Horizon Investments, LLC015,392+15,3920.000.01+0.01buy
WINTON GROUP Ltd015,246+15,2460.000.03+0.03buy
JPMORGAN CHASE & CO150,601165,785+15,1840.000.00+0.00buy
PRUDENTIAL FINANCIAL INC76,30191,030+14,7290.000.01+0.00buy
Edgestream Partners, L.P.246,948260,154+13,2060.350.35+0.01buy
RENAISSANCE TECHNOLOGIES LLC011,971+11,9710.000.00+0.00buy
M&T BANK CORP010,677+10,6770.000.00+0.00buy
AQR CAPITAL MANAGEMENT LLC69,73379,523+9,7900.000.00-0.00buy
Zurcher Kantonalbank (Zurich Cantonalbank)14,29823,486+9,1880.000.00+0.00buy
CSM Advisors, LLC170,906179,883+8,9770.230.24+0.01buy
Sterling Capital Management LLC6,79115,429+8,6380.000.01+0.01buy
MQS Management LLC6,77415,285+8,5110.190.44+0.25buy
BNP PARIBAS FINANCIAL MARKETS17,72626,221+8,4950.000.00+0.00buy
Quantinno Capital Management LP25,96733,933+7,9660.000.00-0.00buy
MARSHALL WACE, LLP13,37420,791+7,4170.000.00+0.00buy
Polymer Capital Management (US) LLC06,895+6,8950.000.04+0.04buy
Squarepoint Ops LLC06,662+6,6620.000.00+0.00buy
DRW Securities, LLC06,365+6,3650.000.02+0.02buy
NewEdge Advisors, LLC1,6157,831+6,2160.000.00+0.00buy
Headlands Technologies LLC6,56912,439+5,8700.030.05+0.03buy
Farringdon Capital, Ltd.05,575+5,5750.000.07+0.07buy
Abel Hall, LLC05,433+5,4330.000.06+0.06buy
PROFUND ADVISORS LLC5,31810,660+5,3420.010.02+0.01buy
DENALI ADVISORS LLC153,474158,462+4,9880.830.85+0.02buy
HighTower Advisors, LLC04,255+4,2550.000.00+0.00buy
CAPITAL FUND MANAGEMENT S.A.15,97419,709+3,7350.010.01+0.00buy
FMR LLC16,49819,564+3,0660.000.00+0.00buy
Sound Income Strategies, LLC02,993+2,9930.000.01+0.01buy
ALLIANCEBERNSTEIN L.P.87,29590,231+2,9360.000.00+0.00buy
Cerity Partners LLC7,59810,305+2,7070.000.00+0.00buy
FRANKLIN RESOURCES INC85,63188,202+2,5710.000.00+0.00buy
DEUTSCHE BANK AG\53,16055,559+2,3990.000.00+0.00buy
CIBC Asset Management Inc4,4646,781+2,3170.000.00+0.00buy
VICTORY CAPITAL MANAGEMENT INC81,84984,165+2,3160.000.00+0.00buy
TWO SIGMA SECURITIES, LLC6,9138,996+2,0830.050.06+0.01buy
O'SHAUGHNESSY ASSET MANAGEMENT, LLC15,45417,139+1,6850.000.00+0.00buy
EXCHANGE TRADED CONCEPTS, LLC01,648+1,6480.000.00+0.00buy
Neuberger Berman Group LLC7,3398,951+1,6120.000.00+0.00buy
Smartleaf Asset Management LLC3,4835,073+1,5900.010.01-0.00buy
Pinnacle Wealth Planning Services, Inc.01,523+1,5230.000.01+0.01buy
NewEdge Wealth, LLC13,10514,480+1,3750.010.01-0.00buy
UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC126,755128,084+1,3290.000.00-0.00buy
PRICE T ROWE ASSOCIATES INC /MD/59,39260,640+1,2480.000.00+0.00buy
CHARLES SCHWAB INVESTMENT MANAGEMENT INC2,935,0492,936,272+1,2230.020.02-0.00buy
ROYAL BANK OF CANADA4,1515,336+1,1850.000.00+0.00buy
MERCER GLOBAL ADVISORS INC /ADV34,82535,984+1,1590.000.00-0.00buy
Rockefeller Capital Management L.P.7011,809+1,1080.000.00+0.00buy
ENVESTNET ASSET MANAGEMENT INC9,0339,894+8610.000.00+0.00buy
CHOREO, LLC15,59416,449+8550.010.01+0.00buy
HANTZ FINANCIAL SERVICES, INC.9791,525+5460.000.00+0.00buy
Global Retirement Partners, LLC1485+4840.000.00+0.00buy
LPL Financial LLC8,2268,685+4590.000.00-0.00buy
GAMMA Investing LLC2,6413,083+4420.010.01+0.00buy
Vanguard Personalized Indexing Management, LLC6,4256,803+3780.000.00+0.00buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC11,68812,036+3480.000.00-0.00buy
CANADA LIFE ASSURANCE Co57,34557,646+3010.000.00+0.00buy
SEI INVESTMENTS CO21,90322,145+2420.000.00-0.00buy
BNP Paribas Asset Management Holding S.A.556778+2220.000.00-0.00buy
JONES FINANCIAL COMPANIES LLLP0201+2010.000.00+0.00buy
ProShare Advisors LLC12,72912,925+1960.000.00-0.00buy
ASSETMARK, INC1,0411,219+1780.000.00+0.00buy
COLDSTREAM CAPITAL MANAGEMENT INC8,4348,552+1180.010.01-0.00buy
Unison Advisors LLC16,26016,377+1170.070.07-0.00buy
CBIZ Investment Advisory Services, LLC0110+1100.000.00+0.00buy
NISA INVESTMENT ADVISORS, LLC1,4701,568+980.000.00-0.00buy
Quarry LP33128+950.000.00+0.00buy
Elyxium Wealth, LLC070+700.000.00+0.00buy
CAPTRUST FINANCIAL ADVISORS25,54125,609+680.000.00-0.00buy
Cetera Investment Advisers32,56132,629+680.000.00-0.00buy
SageView Advisory Group, LLC065+650.000.00+0.00buy
MAI Capital Management443+390.000.00+0.00buy
Root Financial Partners, LLC239276+370.000.00-0.00buy
MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC7,7407,776+360.000.00+0.00buy
JFS WEALTH ADVISORS, LLC1445+310.000.00+0.00buy
FIFTH THIRD BANCORP810839+290.000.00+0.00buy
HIGHLINE WEALTH PARTNERS LLC3,7613,786+250.050.05+0.00buy
UMB Bank, n.a.383405+220.000.00-0.00buy
High Note Wealth, LLC5676+200.000.00+0.00buy
Bell Investment Advisors, Inc151169+180.000.00+0.00buy
CIBC Private Wealth Group LLC376392+160.000.00+0.00buy
Bruce G. Allen Investments, LLC923+140.000.00+0.00buy
Page 1 of 3