CATHAY GEN BANCORP

Ticker: CATY CUSIP: 149150104 Class: Common Stock

Ground Swell Capital, LLC's Holding History (CIK: 0001534450)

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

Q3 2014

Shares 200 Value ($000) $5 Avg Close $18.44 Range $17.64 - $19.36

Q2 2014

Shares 366 Value ($000) $9 Avg Close $17.55 Range $16.30 - $19.00

Period	Shares	Value ($000)	Average Close	Price Range
Q3 2014	200	$5	$18.44	$17.64 - $19.36
Q2 2014	366	$9	$17.55	$16.30 - $19.00