Cathay Gnl Bncp SEC Filings

Cathay General Bancorp (CATY) – Form 4 insider filing dated 07/01/2025 reports transactions by Thomas M. Lo, Executive Vice President & Chief Administrative Officer.

• Non-derivative transaction: Lo disposed of 4,000 common shares (code “D”). No price was disclosed in the filing.
• Derivative transaction: Lo was granted 2,518 Restricted Stock Units (RSUs) on 06/27/2025 (code “A”). Each RSU converts into one common share upon vesting.
• Vesting schedule: The RSUs are scheduled to fully vest on 06/27/2028, or sooner upon death, disability, retirement, or a change in control.
• Ownership form: All reported securities are held directly by the insider.
• The filing was signed by attorney-in-fact Georgia Lo on 07/01/2025.

The combination of a moderate share sale and a routine equity award suggests normal executive compensation activity rather than a significant directional signal. Investors may nonetheless monitor subsequent filings for additional sales or changes in ownership levels.

Form 4 filing for Cathay General Bancorp (CATY) discloses that EVP & Chief Credit Officer Albert Sun received new equity awards on 06/27/2025. Three tranches of performance-based restricted stock units (RSUs) were granted—1,924, 1,981 and 3,963 units—totaling 7,868 RSUs. No open-market purchases or sales of common stock were reported, and the non-derivative table shows zero shares disposed.

The RSUs convert 1-for-1 into common shares and are scheduled to vest in a single installment on 12/31/2027, subject to continued employment, with earlier accelerated vesting possible upon death, disability, qualifying retirement after 12/31/2026 or a change in control. Payout can range from 0% to 150% of target based on performance metrics, aligning executive incentives with shareholder returns.

Investment view: The award modestly increases potential share count (<1% of outstanding shares) and signals ongoing retention of a key risk executive. Because no shares were sold, the filing is generally neutral-to-positive for sentiment but not financially material.

Form 4 filing overview: EVP & CFO Heng W. Chen of Cathay General Bancorp (CATY) reported equity-based compensation granted on 06/27/2025. Chen already owns 191,040 CATY common shares directly and 100 shares indirectly through a family trust. The new grants consist of three tranches of performance-based Restricted Stock Units (RSUs): 3,339; 3,437; and 6,875 units, for a total target award of 13,651 RSUs.

Each RSU converts to one common share upon vesting, with potential payout ranging from 0 % to 150 % of target depending on performance. All units are scheduled to vest in a single installment on 12/31/2027, subject to continued employment, with accelerated vesting possible upon death, disability, certain retirements after 12/31/2026, or a change in control.

The filing shows no open-market purchase or sale; it solely discloses an equity award under the company’s incentive plan. Following the grant, Chen’s beneficial ownership could rise to as much as 204,691 shares (direct holdings plus maximum payout of new RSUs), strengthening management-shareholder alignment. Given CATY’s ~74 million shares outstanding, the potential dilution is de minimis (<0.03 %).

General Mills, Inc. (GIS) – Form 4 insider filing

Chairman & CEO Jeffrey L. Harmening reported a single transaction dated 06/28/2025 involving the company’s common stock. The filing shows a Code F disposition of 28,034 shares at an indicated price of $50.52 per share. Code F denotes shares withheld by the issuer to satisfy tax obligations upon the vesting of equity awards, rather than an open-market sale.

After the withholding, Harmening retains:

• 383,193.0191 shares held directly
• 312,620 shares held indirectly through a trust
• 7,550 shares held indirectly through a second trust

No derivative securities were acquired or disposed of, and there were no additional transaction codes disclosed. The filing was signed on 07/01/2025 by attorney-in-fact Christopher A. Rauschl.

Given the routine nature of a tax-withholding transaction and Harmening’s continued substantial ownership, the market impact is expected to be minimal.

Cathay General Bancorp (CATY) has disclosed an insider equity award via Form 4. On 06/27/2025, President, Chief Executive Officer and Director Chang Liu received three tranches of performance-based Restricted Stock Units (RSUs): 10,633; 10,948; and 21,896 units, for a total of 43,477 RSUs. Each unit represents the contingent right to receive one common share when vested.

The award carries the following key terms: (i) the number of shares ultimately delivered may range from 0% to 150% of the stated target, depending on achievement of specified performance criteria; (ii) all units are scheduled to vest in a single installment on 31 December 2027, subject to continued employment, with accelerated vesting possible upon death, disability, qualifying retirement after 31 December 2026, or a change in control. No cash consideration was paid, and no sale of shares occurred.

Following the grant, Liu’s direct ownership stands at 113,643 common shares plus the newly granted 43,477 RSUs, underscoring a meaningful equity stake intended to align management incentives with long-term shareholder value. From a capital-structure perspective, potential dilution from the award is approximately 0.05%* of the company’s 86 million shares outstanding (based solely on the units reported). The filing does not include any new financial or operational data.

*Dilution estimate uses latest outstanding share count from prior filings; actual impact may differ.