STOCK TITAN
  1. Home
  2. Sec-filings
  3. CATY
  4. [Form 4] CATHAY GENERAL BANCORP Insider Trading Activity

Cathay General (CATY) grants EVP Thomas Lo 1,611 RSUs

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Lo Thomas M. reported acquisition or exercise transactions in this Form 4 filing.

CATHAY GENERAL BANCORP executive Thomas M. Lo, EVP and Chief Administrative Officer, reported an equity compensation award. He received 1,611 restricted stock units (RSUs), each representing a contingent right to one share of common stock.

The RSUs are scheduled to fully vest on June 26, 2029, or earlier upon death, disability, retirement, or change in control. After these transactions, Lo is shown as directly holding 2,000 shares of common stock and 1,611 RSUs, highlighting a mix of current ownership and deferred, time-based equity compensation.

Positive

  • None.

Negative

  • None.
Insider Lo Thomas M.
Role EVP, Chief Admin Officer
Type Security Shares Price Value
Grant/Award Restricted Stock Units 1,611 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Restricted Stock Units — 1,611 shares (Direct, null); Common Stock — 2,000 shares (Direct, null)
Footnotes (1)
  1. Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer. These restricted stock units are scheduled to fully vest on June 26, 2029, or earlier in the event of death, disability, retirement, or change in control.
RSUs granted 1,611 units Restricted stock units granted to Thomas M. Lo
Common shares held 2,000 shares Common stock directly held after transactions
RSU vesting date June 26, 2029 Scheduled full vesting date for 1,611 RSUs
Net buy/sell shares 0 shares No net open-market buying or selling reported
Restricted Stock Units financial
"These restricted stock units are scheduled to fully vest on June 26, 2029"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
Common Stock financial
"Each restricted stock unit represented a contingent right to receive one share of Common Stock"
Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.
change in control financial
"vest on June 26, 2029, or earlier in the event of death, disability, retirement, or change in control"
A "change in control" occurs when the ownership or management of a company shifts significantly, such as through a merger, acquisition, or sale of a large part of its assets. This change can impact how the company is run and may influence its future direction. For investors, it matters because it can affect the company's stability, strategy, and value, often signaling potential changes in investment risk or opportunity.
retirement financial
"or earlier in the event of death, disability, retirement, or change in control"
See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google
Add on Google
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Lo Thomas M.
(Last)(First)(Middle)
777 NORTH BROADWAY
(Street)
LOS ANGELES CALIFORNIA 90012
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
CATHAY GENERAL BANCORP [ CATY ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
EVP, Chief Admin Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/26/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock2,000D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(1)06/26/2026A1,611 (2) (2)Common Stock1,611$01,611D
Explanation of Responses:
1. Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.
2. These restricted stock units are scheduled to fully vest on June 26, 2029, or earlier in the event of death, disability, retirement, or change in control.
/s/ Georgia Lo, attorney-in-fact06/30/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did CATY executive Thomas M. Lo report?

Thomas M. Lo reported receiving 1,611 restricted stock units as equity compensation. Each unit represents a contingent right to one share of CATHAY GENERAL BANCORP common stock, adding to his existing directly held 2,000 common shares reported in the filing.

When do Thomas M. Lo’s 1,611 CATY restricted stock units vest?

The 1,611 restricted stock units are scheduled to fully vest on June 26, 2029. Vesting may occur earlier if there is death, disability, retirement, or a change in control, according to the terms described in the Form 4 footnotes.

How many CATY common shares does Thomas M. Lo hold after this filing?

After the reported transactions, Thomas M. Lo holds 2,000 shares of CATHAY GENERAL BANCORP common stock directly. In addition, he has 1,611 restricted stock units outstanding, which may convert into common shares upon vesting under the award’s terms.

What does each CATY restricted stock unit granted to Thomas M. Lo represent?

Each restricted stock unit represents a contingent right to receive one share of CATHAY GENERAL BANCORP common stock. The units do not become actual shares until they vest under the schedule and conditions described, including the June 26, 2029 vesting date.

Did the CATY Form 4 show any insider stock sales by Thomas M. Lo?

The Form 4 does not report any open-market stock sales by Thomas M. Lo. It shows an acquisition of 1,611 restricted stock units as a grant and a holding entry reflecting 2,000 shares of common stock owned directly after the transactions.