STOCK TITAN

Cathay General director sells 1,000 shares at $62.315

Director Richard Sun sold 1,000 CATY shares via a family trust and continues to hold multiple indirect and direct positions.

(Neutral)
(Negative)
Form Type
4

Rhea-AI Filing Summary

CATHAY GENERAL BANCORP (CATY) director Richard Sun reported a sale of 1,000 shares of common stock on September 2, 2026, at $62.315 per share, executed as an indirect sale by the Ivy Sun Separate Trust. Following this sale, that trust holds 2,200 shares, and Sun continues to report additional indirect holdings through several family-related entities and 1,000 shares held directly. No Rule 10b5-1 trading plan is reported for these transactions.

Positive

  • None.

Negative

  • None.
Insider Sun Richard
Role Director
Sold 1,000 shs ($62K)
Type Security Shares Price Value
Sale Common Stock 1,000 $62.315 $62K
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 — 2,200 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); Common Stock — 2,800 shares (Indirect, by RIS Family Limited Partnership)
Shares sold 1,000 shares Common stock sale reported for September 2, 2026
Sale price per share $62.315 per share Price for 1,000 CATY shares sold indirectly by Ivy Sun Separate Trust
Shares held by Ivy Sun Separate Trust after sale 2,200 shares Indirect holdings attributed to Ivy Sun Separate Trust as of September 2, 2026
Directly held shares 1,000 shares Common stock held directly by Richard Sun as of September 2, 2026
Shares held by Lin-Chih Corporation 1,800 shares Indirect CATY holdings reported through Lin-Chih Corporation
Shares held by spouse 1,100 shares Indirect CATY holdings reported as held by spouse
Shares held by Sun Trust 6,340 shares Indirect CATY holdings reported through Sun Trust
indirect ownership financial
"shares reported as indirect ownership through trusts and entities"
Separate Trust financial
"1,000 shares sold by the Ivy Sun Separate Trust"
family limited partnership financial
"holdings reported by RIS Family Limited Partnership"

FAQ

What insider transaction did CATY director Richard Sun report?

Richard Sun reported a sale of 1,000 CATY common shares on September 2, 2026, carried out as an indirect transaction by the Ivy Sun Separate Trust at a price of $62.315 per share, with 2,200 shares remaining in that trust afterward.

At what price were Richard Sun’s CATY shares sold on September 2, 2026?

The reported sale price for Richard Sun’s transaction in CATY common stock on September 2, 2026 was $62.315 per share, based on a sale of 1,000 indirectly held shares by the Ivy Sun Separate Trust.

How many CATY shares does the Ivy Sun Separate Trust hold after the reported sale?

After selling 1,000 CATY shares, the Ivy Sun Separate Trust is reported to hold 2,200 shares of Cathay General Bancorp common stock as of September 2, 2026.

Does Richard Sun still hold CATY shares directly after this Form 4 filing?

Yes. The Form 4 shows Richard Sun with 1,000 CATY shares held directly as of September 2, 2026, in addition to several indirect holdings through trusts, corporations, and family partnerships.

Were Richard Sun’s CATY share sales under a Rule 10b5-1 trading plan?

The filing indicates no Rule 10b5-1 trading plan applies, as the document-level checkbox for such a plan is not marked and no footnote describes any pre-arranged trading plan.

What other indirect CATY holdings does Richard Sun report?

Beyond the Ivy Sun Separate Trust, Richard Sun reports indirect CATY holdings including 1,800 shares by Lin-Chih Corporation, 1,100 shares by his spouse, 1,600 shares by the Michael Sun Trust, 6,340 shares by the Sun Trust, and stakes through family limited partnerships.

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)
09/02/2026
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 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 Stock2,800Iby RIS Family Limited Partnership
Common Stock09/02/2026S1,000D$62.3152,200IBy Ivy Sun Separate Trust
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-fact09/03/2026
** 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)