CATHAY GEN BANCORP

Ticker: CATY CUSIP: 149150104 Class: Common Stock

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
BlackRock, Inc.9,708,084$469,774
VANGUARD GROUP INC7,534,892$364,613
DIMENSIONAL FUND ADVISORS LP4,032,563$195,137
STATE STREET CORP3,406,970$164,863
CHARLES SCHWAB INVESTMENT MANAGEMENT INC2,936,272$142,086
GEODE CAPITAL MANAGEMENT, LLC1,724,741$83,472
Invesco Ltd.1,685,203$81,547
AMERICAN CENTURY COMPANIES INC1,347,674$65,214
MASSACHUSETTS FINANCIAL SERVICES CO /MA/961,174$46,511
NORGES BANK850,180$41,140
NORTHERN TRUST CORP798,213$38,626
MORGAN STANLEY672,697$32,552
Bank of New York Mellon Corp669,527$32,398
LSV ASSET MANAGEMENT648,900$31
Boston Trust Walden Corp602,303$29,145
GW&K Investment Management, LLC601,183$29
GOLDMAN SACHS GROUP INC580,038$28,068
T. Rowe Price Investment Management, Inc.431,061$21
Nuveen, LLC414,279$20,047
GLENMEDE TRUST CO NA352,513$17,058
D. E. Shaw & Co., Inc.338,019$16,357
PRINCIPAL FINANCIAL GROUP INC324,332$15,694
Public Sector Pension Investment Board277,909$13,448
MILLENNIUM MANAGEMENT LLC261,930$12,675
Edgestream Partners, L.P.260,154$12,589
WELLINGTON MANAGEMENT GROUP LLP260,016$12,582
BANK OF AMERICA CORP /DE/259,375$12,551
CITADEL ADVISORS LLC218,326$10,565
RHUMBLINE ADVISERS207,715$10,051
HOTCHKIS & WILEY CAPITAL MANAGEMENT LLC195,982$9,484
CSM Advisors, LLC179,883$9
Legal & General Group Plc167,048$8,083
JPMORGAN CHASE & CO165,785$8,022
NORDEA INVESTMENT MANAGEMENT AB159,689$7,751
DENALI ADVISORS LLC158,462$7,668
AMERIPRISE FINANCIAL INC153,277$7,417
HSBC HOLDINGS PLC153,091$7,426
Brandywine Global Investment Management, LLC148,259$7,174
CIBC WORLD MARKET INC.131,335$6,355
Swiss National Bank129,100$6,247
UBS ASSET MANAGEMENT AMERICAS INC128,084$6,198
PURE PORTFOLIOS HOLDINGS LLC127,579$6,174
BARCLAYS PLC123,298$5,966
NEW YORK STATE TEACHERS RETIREMENT SYSTEM120,300$6
NFJ INVESTMENT GROUP, LLC114,683$5,550
FIRST TRUST ADVISORS LP111,140$5,378
ExodusPoint Capital Management, LP101,477$4,910
Universal- Beteiligungs- und Servicegesellschaft mbH96,882$4,689
UBS Group AG95,584$4,625
PRUDENTIAL FINANCIAL INC91,030$4,405
ALLIANCEBERNSTEIN L.P.90,231$4,366
FRANKLIN RESOURCES INC88,202$4,268
VICTORY CAPITAL MANAGEMENT INC84,165$4,073
Moody Aldrich Partners LLC81,799$3,958
Qube Research & Technologies Ltd80,548$3,898
WELLS FARGO & COMPANY/MN79,706$3,857
AQR CAPITAL MANAGEMENT LLC79,523$3,848
BESSEMER GROUP INC72,205$3
CITIGROUP INC63,774$3,086
NEW YORK STATE COMMON RETIREMENT FUND63,487$3,072
WEDGE CAPITAL MANAGEMENT L L P/NC63,405$3,068
Mirae Asset Global Investments Co., Ltd.61,509$2,976
CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM60,897$2,947
PRICE T ROWE ASSOCIATES INC /MD/60,640$3
DEAN INVESTMENT ASSOCIATES, LLC58,403$2,826
GREAT WEST LIFE ASSURANCE CO /CAN/57,646$3
DEUTSCHE BANK AG\55,559$2,689
Voya Investment Management LLC55,072$2,665
Rafferty Asset Management, LLC54,900$2,657
NorthCrest Asset Manangement, LLC54,436$2,680
JANE STREET GROUP, LLC51,659$2,500
Kondo Wealth Advisors, Inc.50,981$2,467
Dana Investment Advisors, Inc.49,046$2,373
Thrivent Financial for Lutherans47,682$2
Mitsubishi UFJ Trust & Banking Corp43,095$2,085
WILLNER & HELLER, LLC42,439$2,054
ALGERT GLOBAL LLC40,636$2
Dean Capital Management39,721$1,922
Russell Investments Group, Ltd.37,951$1,836
VIRGINIA RETIREMENT SYSTEMS ET AL37,787$1,829
State of Alaska, Department of Revenue37,689$2
MetLife Investment Management, LLC36,414$1,762
MERCER GLOBAL ADVISORS INC /ADV35,984$1,741
Illinois Municipal Retirement Fund35,654$1,725
INTECH INVESTMENT MANAGEMENT LLC35,029$1,695
Quantinno Capital Management LP33,933$1,642
Cetera Investment Advisers32,629$1,579
SUSQUEHANNA INTERNATIONAL GROUP, LLP32,088$1,553
COMERICA BANK31,838$1,541
SG Americas Securities, LLC31,697$2
MANUFACTURERS LIFE INSURANCE COMPANY, THE31,362$1,518
OSAIC HOLDINGS, INC.31,224$1,511
Louisiana State Employees Retirement System31,200$1,510
Iron Gate Global Advisors LLC31,125$1,506
Convergence Investment Partners, LLC31,093$1,505
BALYASNY ASSET MANAGEMENT L.P.31,051$1,503
MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd.30,907$1,496
ORG Partners LLC30,815$1,491
ROYCE & ASSOCIATES LP30,535$1,478
BRIDGEWAY CAPITAL MANAGEMENT, LLC30,500$1,476
166 other institutions1,230,231$56,275
Total (266 institutions)48,908,313$2,250,907