CATY 10-Q/A
Cathay General Bancorp (CATY)
10-Q/A
2023-11-09
For: 2023-09-30
View Original
Added on
April 10, 2026
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
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QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the quarterly period ended
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OR
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the transition period from
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to
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Commission file number
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(Exact name of registrant as specified in its charter)
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(State of other jurisdiction of incorporation
or organization)
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(I.R.S. Employer
Identification No.)
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(Address of principal executive offices)
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Zip Code)
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Registrant's telephone number, including area code:
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(
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(Former name, former address and former fiscal year, if changed since last report)
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading Symbol
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Name of each exchange on which registered
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Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☑ No ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☑ No ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer or a smaller reporting company. See definition of “large accelerated filer,” “accelerated filer,” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.
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Accelerated filer ☐
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Non-accelerated filer ☐
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Smaller reporting company
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Emerging growth company
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☑
Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date.
Common stock, $.01 par value, 72,648,863 shares outstanding as of October 31, 2023.
Explanatory Note
Cathay General Bancorp is filing this Amendment No. 1 on Form 10-Q/A (the “Amendment”) to its Quarterly Report on Form 10-Q for the quarter ended September 30, 2023, filed with the Securities and Exchange Commission on November 8, 2023 (the “Original Report”), solely to correct the signature page to the Original Report, which inadvertently omitted the date of signature.
Except for the adding of the date of signature, no other changes have been made to the Original Report. This Amendment does not reflect any subsequent events occurring after the original filing date of the Original Report or modify or update in any way disclosures made in the Original Report.
Item 6. Exhibits
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Exhibit 31.1
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Exhibit 31.2
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Exhibit 32.1
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Exhibit 32.2
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Exhibit 101.INS
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Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document*
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Exhibit 101.SCH
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Inline XBRL Taxonomy Extension Schema Document*
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Exhibit 101.CAL
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Inline XBRL Taxonomy Extension Calculation Linkbase Document*
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Exhibit 101.DEF
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Inline XBRL Taxonomy Extension Definition Linkbase Document*
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Exhibit 101.LAB
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Inline XBRL Taxonomy Extension Label Linkbase Document*
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Exhibit 101.PRE
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Inline XBRL Taxonomy Extension Presentation Linkbase Document*
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Exhibit 104
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Cover Page Interactive Data File – the cover page XBRL tags are embedded within the Inline XBRL document*
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____________________
+ Filed herewith.
++ Furnished herewith.
* Filed electronically herewith.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
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Cathay General Bancorp
(Registrant)
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Date: November 8, 2023
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/s/ Chang M. Liu
Chang M. Liu
President and Chief Executive Officer
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Date: November 8, 2023
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/s/ Heng W. Chen
Heng W. Chen
Executive Vice President and
Chief Financial Officer
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