Cathay General CFO converts 4,012 RSUs to stock

Cathay General Bancorp’s CFO settled 4,012 RSUs into common stock, with 1,294 shares withheld to cover exercise price or tax obligations.

Rhea-AI Filing Summary

CATHAY GENERAL BANCORP (CATY) reported that EVP and Chief Financial Officer Albert Jen-Wen Wang settled 4,012 restricted stock units into an equal number of shares of Common Stock on September 8, 2026. All 4,012 units vested that day, and 1,294 shares were delivered or withheld to pay the exercise price or tax liability at $61.86 per share. No Rule 10b5-1 trading plan is reported for these transactions.

Insider Trade Summary

4,012 shares exercised/converted

Exercise 3 txns

Insider Wang Albert Jen-Wen

Role EVP, Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units F1, F2	4,012	$0.00	$0.00
Exercise	Common Stock	4,012	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	1,294	$61.86	$80K

Holdings After Transaction: Restricted Stock Units — 0 contracts (Direct); Common Stock — 2,718 shares (Direct)

Footnotes (2)

1. F1. Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.
2. F2. The Reporting Person previously reported the award of 4,012 restricted stock units, on Form 4 filed June 30, 2026. All of the restricted stock units were vested on September 8, 2026.

Key Figures

Restricted stock units converted: 4,012 units Common Stock acquired from RSU conversion: 4,012 shares Shares withheld for exercise price or tax liability: 1,294 shares +2 more

5 metrics

Restricted stock units converted 4,012 units RSUs exercised or converted into Common Stock on September 8, 2026

Common Stock acquired from RSU conversion 4,012 shares Shares of Cathay General Bancorp Common Stock received on September 8, 2026

Shares withheld for exercise price or tax liability 1,294 shares Common Stock delivered or withheld in code F transaction on September 8, 2026

Per-share amount for tax or exercise withholding $61.86 per share Price applied to 1,294 Common Stock shares in code F transaction

RSUs remaining from this award after conversion 0 units Total restricted stock units following the derivative transaction

Key Terms

Restricted Stock Units, derivative security, Rule 10b5-1 trading plan, tax liability

4 terms

Restricted Stock Units financial

"Each restricted stock unit represented a contingent right to receive one share"

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.

derivative security financial

"Exercise or conversion of derivative security"

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

Rule 10b5-1 trading plan regulatory

"No Rule 10b5-1 trading plan is reported for these transactions"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

tax liability financial

"Payment of exercise price or tax liability by delivering or withholding securities"

FAQ

What equity transaction did CATY’s CFO report on this Form 4?

EVP and Chief Financial Officer Albert Jen-Wen Wang settled 4,012 restricted stock units into 4,012 shares of Common Stock on September 8, 2026, through an exercise or conversion of a derivative security.

How many CATY shares were withheld for taxes or exercise price?

On September 8, 2026, 1,294 shares of Cathay General Bancorp Common Stock were delivered or withheld at $61.86 per share to pay the exercise price or tax liability related to the RSU settlement.

What RSU award did the CATY Form 4 reference, and when did it vest?

The filing references a previously reported award of 4,012 restricted stock units reported on a Form 4 filed June 30, 2026. The footnote states that all 4,012 restricted stock units vested on September 8, 2026.

Does the CATY Form 4 indicate use of a Rule 10b5-1 trading plan?

No. The filing’s Rule 10b5-1 checkbox is not marked as affirmative, and there is no footnote stating that these transactions were made pursuant to a Rule 10b5-1 trading plan.

What type of securities did the CATY CFO hold before and after the RSU conversion?

The reporting shows restricted stock units converting into Common Stock. After the transaction, the derivative position shows 0 restricted stock units remaining from that award; post-transaction Common Stock holdings are not specified in this data.

What was the reported price used for the CATY tax or exercise share withholding?

For the 1,294 Common Stock shares delivered or withheld to pay the exercise price or tax liability, the Form 4 reports a price of $61.86 per share on September 8, 2026.

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

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Available on EDGAR 09/10/2026 - 04:33 PM Accepted by SEC EDGAR 09/10/2026 - 04:32 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED 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^*

Wang Albert Jen-Wen

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP, Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/08/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/08/2026		M		4,012	A	$0	4,012	D
Common Stock	09/08/2026		F		1,294	D	$61.86	2,718	D

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units	(1)	09/08/2026		M			4,012	(2)	(2)	Common Stock	4,012	$0	0	D

Explanation of Responses:

1. Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.

2. The Reporting Person previously reported the award of 4,012 restricted stock units, on Form 4 filed June 30, 2026. All of the restricted stock units were vested on September 8, 2026.

	/s/ Georgia Lo, attorney-in-fact	09/10/2026
	** Signature of Reporting Person	Date
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)