Cathay director granted 1,593 CATY shares

Sun Richard reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Sun Richard reported acquisition or exercise transactions in this Form 4 filing.

Cathay General Bancorp director Richard Sun received a grant of 1,593 shares of fully vested common stock on April 15, 2026, at no cost. This award increased his directly held common shares to 2,593.

The filing also reports indirect ownership of Cathay General Bancorp common stock through several related entities and family accounts, including shares held by an Ivy Sun Separate Trust, JKLM Limited Partnership, Lin-Chih Corporation, RIS Family Limited Partnership, Sun Trust, a Michael Sun Trust, and by his spouse.

Insider Trade Summary

Grant/Award: 1,593 shares

Grant/Award 8 txns

Insider Sun Richard

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	1,593	$0.00	$0.00
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 — 2,593 shares (Direct); Common Stock — 4,200 shares (Indirect, By Ivy Sun Separate Trust); Common Stock — 17,315 shares (Indirect, By JKLM Limited Partnership); Common Stock — 1,800 shares (Indirect, by Lin-Chih Corporation); Common Stock — 5,800 shares (Indirect, by RIS Family Limited Partnership); Common Stock — 1,100 shares (Indirect, By spouse); Common Stock — 1,600 shares (Indirect, by Michael Sun Trust); Common Stock — 19,747 shares (Indirect, By Sun Trust)

Footnotes (1)

1. F1. Grant of fully vested common stock of CATY.

Key Figures

Stock grant: 1,593 shares Direct holdings after grant: 2,593 shares Ivy Sun Separate Trust holdings: 4,200 shares +5 more

8 metrics

Stock grant 1,593 shares Fully vested common stock awarded on April 15, 2026

Direct holdings after grant 2,593 shares Common stock directly owned by Richard Sun following award

Ivy Sun Separate Trust holdings 4,200 shares Common stock held indirectly via Ivy Sun Separate Trust

JKLM Limited Partnership holdings 17,315 shares Common stock held indirectly via JKLM Limited Partnership

Lin-Chih Corporation holdings 1,800 shares Common stock held indirectly via Lin-Chih Corporation

RIS Family Limited Partnership holdings 5,800 shares Common stock held indirectly via RIS Family Limited Partnership

Spouse holdings 1,100 shares Common stock held indirectly by spouse

Sun Trust holdings 19,747 shares Common stock held indirectly via Sun Trust

Key Terms

fully vested common stock, separate trust, limited partnership, family limited partnership, +1 more

5 terms

fully vested common stock financial

"Grant of fully vested common stock of CATY."

separate trust financial

"nature_of_ownership": "By Ivy Sun Separate Trust"

limited partnership financial

"nature_of_ownership": "By JKLM Limited Partnership"

A limited partnership is a legal business structure with two types of partners: at least one general partner who runs the business and bears full legal responsibility, and one or more limited partners who contribute money, share profits, and have liability capped at their investment. For investors, it matters because it separates control from financial exposure — like putting money into a store without managing it — and affects how returns, risks, taxes and transferability of ownership are handled.

family limited partnership financial

"nature_of_ownership": "by RIS Family Limited Partnership"

indirect ownership financial

"ownership_type": "indirect"

FAQ

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

What insider transaction did Richard Sun report for Cathay General Bancorp (CATY)?

Richard Sun reported receiving 1,593 shares of Cathay General Bancorp common stock as a grant of fully vested shares. The award carried a price of $0.00 per share and increased his directly held position to 2,593 common shares as of April 15, 2026.

Is Richard Sun’s Form 4 transaction in CATY stock a purchase or a grant?

The Form 4 shows a grant or award, not an open-market purchase. Richard Sun received 1,593 fully vested common shares of Cathay General Bancorp at no cost, coded as an “A” transaction, which typically reflects compensation or an award from the company.

How many Cathay General Bancorp (CATY) shares does Richard Sun hold directly after this filing?

After the reported grant, Richard Sun directly holds 2,593 shares of Cathay General Bancorp common stock. This reflects his direct ownership only and excludes additional shares reported as indirectly owned through various family trusts, partnerships, corporations, and a spouse account.

What indirect CATY share holdings are associated with Richard Sun on this Form 4?

The Form 4 lists several indirect positions, including 4,200 shares held by an Ivy Sun Separate Trust, 17,315 by JKLM Limited Partnership, 1,800 by Lin-Chih Corporation, 5,800 by RIS Family Limited Partnership, 1,100 by his spouse, 1,600 by a Michael Sun Trust, and 19,747 by Sun Trust.

Does the Form 4 for CATY indicate any insider sales by Richard Sun?

The summarized data show no insider sales. The filing records one acquisition via a grant of 1,593 fully vested common shares and several unchanged indirect holding entries, with the transaction summary indicating zero sell transactions and a neutral net buy-sell share count.

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

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Accepted by SEC EDGAR 04/17/2026 - 06:44 PM EDT 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^*

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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/15/2026

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								4,200	I	By Ivy Sun Separate Trust
Common Stock								17,315	I	By JKLM Limited Partnership
Common Stock								1,800	I	by Lin-Chih Corporation
Common Stock								5,800	I	by RIS Family Limited Partnership
Common Stock								1,100	I	By spouse
Common Stock								1,600	I	by Michael Sun Trust
Common Stock								19,747	I	By Sun Trust
Common Stock	04/15/2026		A		1,593(1)	A	$0	2,593	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

Explanation of Responses:

1. Grant of fully vested common stock of CATY.

	/s/ Georgia Lo, attorney-in-fact	04/17/2026
	** 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)