Cathay General Bancorp
US ˙ NasdaqGS ˙ US1491501045

SecurityCATY / Cathay General Bancorp
InstitutionDimensional Fund Advisors Lp
Latest Disclosed Ownership3,850,589 shares
Ownership 5.30%
Dimensional Fund Advisors Lp ownership in CATY / Cathay General Bancorp

2024-02-09 - Dimensional Fund Advisors Lp has filed an SC 13G form with the Securities and Exchange Commission (SEC) disclosing ownership of 3,850,589 shares of Cathay General Bancorp (US:CATY). This represents 5.3 percent ownership of the company. In their previous filing dated 2018-02-09 , Dimensional Fund Advisors Lp had reported owning 3,776,352 shares, indicating an increase of 1.97 percent.

Institutional Ownership: 13D/G Filings

This table shows a history of the 13D/G filings made by the investor and/or investor group. Note that the share values in this table are not directly comparable to any numbers shown in the 13F table (if any).

File
Date		Effective
Date		Form Prev
Shares		 Latest
Shares		 ΔShares
(Percent)		 Ownership
(Percent)		 ΔOwnership
(Percent)
2024-02-09 2024-02-09 13G 3,776,352 3,850,589 1.97 5.30 13.49
2018-02-09 2018-02-09 13G/A 4,045,245 3,776,352 -6.65 4.67 -8.97
2017-02-09 2017-02-09 13G 4,157,715 4,045,245 -2.71 5.13 0.00
2016-02-09 2016-02-09 13G 4,157,715 5.13
2015-02-05 2015-02-05 13G/A 3,977,631 4.99
2014-02-10 2014-02-10 13G/A 4,011,621 5.07
2013-02-11 2013-02-11 13G/A 4,281,600 5.44
2012-02-14 2012-02-14 13G/A 4,171,249 5.30

Important Note: One of the primary uses of the 13D/G filings is to evaluate the ability of a firm to control a company (ie, the "beneficial ownership"). To that end, firms are required to report not just direct holdings in companies, but indirect holdings that they control. For investment firms, these indirect holdings can include shares in funds they manage, advisory accounts, and in the case of activist campaigns, pledged votes. Therefore, share counts listed in 13D/G filings can differ significantly than share counts listed in 13F filings.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2026-05-07 2026-03-31 13F CATHAY GEN BANCORP COM 149150104 4,050,007 17,444 0.43 201,930 3.48 0.0090
2026-02-12 2025-12-31 13F CATHAY GEN BANCORP COM 149150104 4,032,563 -35,439 -0.87 195,137 -0.08 0.0409
2025-11-12 2025-09-30 13F CATHAY GEN BANCORP COM 149150104 4,068,002 -18,241 -0.45 195,304 4.97 0.0419
2025-08-12 2025-06-30 13F CATHAY GEN BANCORP COM 149150104 4,086,243 -55,905 -1.35 186,049 4.39 0.0431
2025-05-13 2025-03-31 13F CATHAY GEN BANCORP COM 149150104 4,142,148 -88,574 -2.09 178,232 -11.51 0.0443
2025-02-13 2024-12-31 13F CATHAY GEN BANCORP COM 149150104 4,230,722 12,684 0.30 201,426 11.19 0.0484
2024-11-07 2024-09-30 13F CATHAY GEN BANCORP COM 149150104 4,218,038 23,806 0.57 181,163 14.51 0.0439
2024-08-09 2024-06-30 13F CATHAY GEN BANCORP COM 149150104 4,194,232 176,215 4.39 158,206 4.08 0.0413
2024-05-10 2024-03-31 13F CATHAY GEN BANCORP COM 149150104 4,018,017 167,661 4.35 152,002 -11.43 0.0412
2024-02-07 2023-12-31 13F CATHAY GEN BANCORP COM 149150104 3,850,356 150,331 4.06 171,613 33.44 0.0501
2023-11-09 2023-09-30 13F CATHAY GEN BANCORP COM 149150104 3,700,025 118,253 3.30 128,611 11.55 0.0422
2023-08-09 2023-06-30 13F CATHAY GEN BANCORP COM 149150104 3,581,772 -7,171 -0.20 115,299 -6.93 0.0367
2023-05-12 2023-03-31 13F CATHAY GEN BANCORP COM 149150104 3,588,943 298,006 9.06 123,889 92,353.73 0.0417
2023-02-09 2022-12-31 13F CATHAY GEN BANCORP COM 149150104 3,290,937 233,646 7.64 134 -99.89 0.0397
2022-11-10 2022-09-30 13F CATHAY GEN BANCORP COM 149150104 3,057,291 84,762 2.85 117,586 1.04 0.0451
2022-08-12 2022-06-30 13F CATHAY GEN BANCORP COM 149150104 2,972,529 65,614 2.26 116,374 -10.54 0.0417
2022-05-13 2022-03-31 13F CATHAY GEN BANCORP COM 149150104 2,906,915 66,567 2.34 130,087 6.54 0.0401
2022-02-09 2021-12-31 13F CATHAY GEN BANCORP COM 149150104 2,840,348 -62,595 -2.16 122,107 1.62 0.0369
2021-11-12 2021-09-30 13F CATHAY GEN BANCORP COM 149150104 2,902,943 12,524 0.43 120,155 5.61 0.0387
2021-08-12 2021-06-30 13F CATHAY GEN BANCORP COM 149150104 2,890,419 -219,939 -7.07 113,767 -10.48 0.0360
2021-05-14 2021-03-31 13F CATHAY GEN BANCORP COM 149150104 3,110,358 -157,016 -4.81 127,091 20.84 0.0420
2021-03-08 2020-12-31 13F/A-2 CATHAY GEN BANCORP COM 149150104 3,267,374 23,257 0.72 105,176 49.54 0.0380
2021-02-11 2020-12-31 13F CATHAY GEN BANCORP COM 149150104 3,267,374 23,257 105,176 37,983.9808
2020-11-12 2020-09-30 13F CATHAY GEN BANCORP COM 149150104 3,244,117 5,468 0.17 70,332 -17.43 0.0298
2020-08-13 2020-06-30 13F CATHAY GEN BANCORP COM 149150104 3,238,649 57,396 1.80 85,174 16.66 0.0374
2020-05-14 2020-03-31 13F CATHAY GEN BANCORP COM 149150104 3,181,253 -142,989 -4.30 73,008 -42.28 0.0380
2020-02-14 2019-12-31 13F CATHAY GEN BANCORP COM 149150104 3,324,242 -80,655 -2.37 126,488 6.95 0.0461
2019-11-12 2019-09-30 13F CATHAY GEN BANCORP COM 149150104 3,404,897 54,946 1.64 118,270 -1.68 0.0460
2019-08-13 2019-06-30 13F CATHAY GEN BANCORP COM 149150104 3,349,951 -195,060 -5.50 120,294 0.07 0.0467
2019-08-12 2019-03-31 13F/A-2 CATHAY GEN BANCORP COM 149150104 3,545,011 -200,427 -5.35 120,212 -4.28 0.0479
2019-05-10 2019-03-31 13F CATHAY GEN BANCORP COM 149150104 3,545,011 -200,427 120,212
2019-02-26 2018-12-31 13F/A-1 CATHAY GEN BANCORP COM 149150104 3,745,438 -199,786 -5.06 125,585 -23.18 0.0569
2019-02-13 2018-12-31 13F CATHAY GEN BANCORP COM 149150104 3,745,438 -199,786 125,585
2018-11-13 2018-09-30 13F CATHAY GEN BANCORP COM 149150104 3,945,224 71,101 1.84 163,490 4.22 0.0622
2018-08-10 2018-06-30 13F CATHAY GEN BANCORP COM 149150104 3,874,123 127,407 3.40 156,865 4.72 0.0625
2018-05-11 2018-03-31 13F CATHAY GEN BANCORP COM 149150104 3,746,716 -29,636 -0.78 149,793 -5.94 0.0624
2018-02-12 2017-12-31 13F CATHAY GEN BANCORP COM 149150104 3,776,352 -53,594 -1.40 159,252 3.43 0.0660
2017-11-13 2017-09-30 13F CATHAY GEN BANCORP COM 149150104 3,829,946 -127,352 -3.22 153,964 2.52 0.0673
2017-08-11 2017-06-30 13F CATHAY GEN BANCORP COM 149150104 3,957,298 -191,838 -4.62 150,180 -3.94 0.0693
2017-05-12 2017-03-31 13F CATHAY GEN BANCORP COM 149150104 4,149,136 103,891 2.57 156,340 1.62 0.0747
2017-02-09 2016-12-31 13F CATHAY GEN BANCORP COM 149150104 4,045,245 120,017 3.06 153,841 27.33 0.0768
2016-11-10 2016-09-30 13F CATHAY GEN BANCORP COM 149150104 3,925,228 -22,214 -0.56 120,817 8.54 0.0653
2016-08-09 2016-06-30 13F CATHAY GEN BANCORP COM 149150104 3,947,442 -191,538 -4.63 111,315 -5.07 0.0641
2016-05-13 2016-03-31 13F CATHAY GEN BANCORP COM 149150104 4,138,980 -18,735 -0.45 117,258 -9.98 0.0702
2016-02-10 2015-12-31 13F CATHAY GEN BANCORP COM 149150104 4,157,715 -60,152 -1.43 130,264 3.08 0.0812
2015-11-13 2015-09-30 13F CATHAY GEN BANCORP COM 149150104 4,217,867 95,408 2.31 126,367 -5.54 0.0829
2015-08-14 2015-06-30 13F CATHAY GEN BANCORP COM 149150104 4,122,459 89,138 2.21 133,774 16.58 0.0819
2015-05-14 2015-03-31 13F CATHAY GEN BANCORP COM 149150104 4,033,321 55,690 1.40 114,747 12.73 0.0725
2015-02-06 2014-12-31 13F CATHAY GEN BANCORP COM 149150104 3,977,631 10,353 0.26 101,789 3.33 0.0669
2014-11-13 2014-09-30 13F CATHAY GEN BANCORP COM 149150104 3,967,278 -133,303 -3.25 98,509 -6.01 0.0698
2014-08-08 2014-06-30 13F CATHAY GEN BANCORP COM 149150104 4,100,581 58,628 1.45 104,811 2.94 0.0729
2014-05-14 2014-03-31 13F CATHAY GEN BANCORP COM 149150104 4,041,953 30,332 0.76 101,816 -5.05 0.0761
2014-02-12 2013-12-31 13F CATHAY GENERAL BANCORP COM 149150104 4,011,621 -75,760 -1.85 107,231 12.26 0.0836
2013-11-13 2013-09-30 13F CATHAY GENERAL BANCORP COM 149150104 4,087,381 -137,286 -3.25 95,521 11.11 0.0827
2013-08-15 2013-06-30 13F CATHAY GENERAL BANCORP COM 149150104 4,224,667 4,224,667 85,972 0.0810
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.