Cathay General credit chief acquires 1,417 shares

Each restricted stock unit represented a contingent right to receive one share of common stock, and all 1,417 units vested on September 25, 2026.

Available on EDGAR 09/25/2026 - 07:40 PM EDT Accepted by SEC EDGAR 09/25/2026 - 07:38 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

On September 25, 2026, Albert Sun, EVP, Chief Credit Officer at CATHAY GENERAL BANCORP, reported the vesting of 1,417 restricted stock units and acquisition of 1,417 common shares. He also reported 457 common shares delivered or withheld for payment of exercise price or tax liability, at a reported $61.45 per share. No Rule 10b5-1 plan is reported.

Insider Trade Summary

1,417 shares exercised/converted

Exercise 3 txns

Insider SUN ALBERT

Role EVP, Chief Credit Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units F1, F2	1,417	$0.00	$0.00
Exercise	Common Stock	1,417	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	457	$61.45	$28K

Holdings After Transaction: Restricted Stock Units — 0 units (Direct); Common Stock — 960 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 1,417 restricted stock units, on Form 3 filed January 8, 2024. All of the restricted stock units were vested on September 25, 2026.

Key Figures

Restricted stock units vested: 1,417 units Common shares acquired: 1,417 shares Shares delivered or withheld: 457 shares +1 more

4 metrics

Restricted stock units vested 1,417 units September 25, 2026

Common shares acquired 1,417 shares September 25, 2026

Shares delivered or withheld 457 shares For payment of exercise price or tax liability on September 25, 2026

Reported per-share price $61.45 per share 457-share payment-related transaction on September 25, 2026

Key Terms

restricted stock units, contingent right, derivative security, exercise price or tax liability

4 terms

restricted stock units technical

"All of the restricted stock units were vested"

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.

contingent right technical

"Each restricted stock unit represented a contingent right"

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.

exercise price or tax liability financial

"payment of exercise price or tax liability"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did each CATY restricted stock unit represent?

Each restricted stock unit represented a contingent right to receive one share of CATHAY GENERAL BANCORP common stock. All 1,417 units vested on September 25, 2026.

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

Form 4 Insider Transactions: What Each Field Means →

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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^*

SUN ALBERT

(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 Credit Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/25/2026

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	09/25/2026		M		1,417	A	$0	1,417	D
Common Stock	09/25/2026		F		457	D	$61.45	960	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)	09/25/2026		M			1,417	(2)	(2)	Common Stock	1,417	$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 1,417 restricted stock units, on Form 3 filed January 8, 2024. All of the restricted stock units were vested on September 25, 2026.

	/s/ Georgia Lo, attorney-in-fact	09/25/2026
	** 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)