STOCK TITAN

Cathay General Bancorp (CATY) director Sun reports sale of 3,000 shares

(Moderate)
(Negative)
Form Type
4

Rhea-AI Filing Summary

Cathay General Bancorp director Richard Sun reported an indirect sale of 3,000 shares of common stock on 2026-08-10 at $63.09 per share, held by RIS Family Limited Partnership, leaving 2,800 shares in that entity. The filing also lists several indirect family and trust holdings and 1,000 shares held directly.

Positive

  • None.

Negative

  • None.
Insider Sun Richard
Role Director
Sold 3,000 shs ($189K)
Type Security Shares Price Value
Sale Common Stock 3,000 $63.09 $189K
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 2,800 shares (Indirect, by RIS Family Limited Partnership); Common Stock — 4,200 shares (Indirect, By Ivy Sun Separate Trust); Common Stock — 1,800 shares (Indirect, by Lin-Chih Corporation); Common Stock — 1,100 shares (Indirect, By spouse); Common Stock — 1,600 shares (Indirect, by Michael Sun Trust); Common Stock — 1,000 shares (Direct); Common Stock — 6,340 shares (Indirect, By Sun Trust); Common Stock — 2,315 shares (Indirect, By JKLM Limited Partnership)
Shares sold 3,000 shares Indirect sale of common stock on 2026-08-10
Sale price $63.09 per share Price for 3,000-share sale of common stock
RIS Family LP remaining 2,800 shares Indirect holdings after the reported sale
Ivy Sun Separate Trust 4,200 shares Indirect holdings of common stock
Sun Trust 6,340 shares Indirect trust holdings of common stock
Direct holdings 1,000 shares Directly owned common stock
indirect ownership financial
"The filing also lists several indirect family and trust holdings"
Family Limited Partnership financial
"indirect sale of 3,000 shares held by RIS Family Limited Partnership"
separate trust financial
"Other indirect holdings include 4,200 shares held by an Ivy Sun separate trust"

FAQ

What did Cathay General Bancorp (CATY) director Richard Sun report in this Form 4?

Richard Sun reported an indirect sale of 3,000 Cathay General Bancorp shares on 2026-08-10 at $63.09 per share through RIS Family Limited Partnership, with 2,800 shares remaining in that entity after the transaction and additional holdings reported elsewhere.

At what price were the Cathay General Bancorp (CATY) shares sold by Richard Sun?

The reported transaction shows a sale price of $63.09 per share for 3,000 shares of Cathay General Bancorp common stock on 2026-08-10. This price is listed as a per-share figure for the open-market or private sale transaction.

How many Cathay General Bancorp (CATY) shares remain in the RIS Family Limited Partnership after the sale?

After the reported sale, the RIS Family Limited Partnership holds 2,800 shares of Cathay General Bancorp common stock indirectly attributed to director Richard Sun. This figure is stated as the total shares following the transaction for that ownership line.

What other indirect holdings of Cathay General Bancorp (CATY) are reported for Richard Sun?

Other indirect holdings include 4,200 shares held by an Ivy Sun separate trust, 1,800 shares by Lin-Chih Corporation, 1,100 shares by spouse, 1,600 shares by a Michael Sun Trust, 6,340 shares by Sun Trust, and 2,315 shares by JKLM Limited Partnership.

Does Richard Sun have any direct ownership of Cathay General Bancorp (CATY) shares?

Yes. In addition to multiple indirect holdings, the filing reports 1,000 shares of Cathay General Bancorp common stock held under direct ownership by Richard Sun as of 2026-08-10, listed separately from trust and partnership positions.

Was the Cathay General Bancorp (CATY) share sale by Richard Sun under a Rule 10b5-1 plan?

The Form 4 indicates the Rule 10b5-1 checkbox is not marked as a trading plan. There is no accompanying footnote describing the transaction as occurring pursuant to a Rule 10b5-1 or other pre-arranged trading plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Learn about SEC filing dates
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*
Sun Richard

(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/10/2026
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 Stock4,200IBy Ivy Sun Separate Trust
Common Stock1,800Iby Lin-Chih Corporation
Common Stock1,100IBy spouse
Common Stock1,600Iby Michael Sun Trust
Common Stock1,000D
Common Stock6,340IBy Sun Trust
Common Stock2,315IBy JKLM Limited Partnership
Common Stock08/10/2026S3,000D$63.092,800Iby RIS Family Limited Partnership
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
Explanation of Responses:
/s/ Georgia Lo, attorney-in-fact08/12/2026
** 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)