Was the CATY CEO’s share sale made under a Rule 10b5-1 plan?

Yes. The filing states the transaction occurred automatically under a Rule 10b5-1(c) trading plan . This pre-arranged plan, adopted earlier by the CEO, schedules trades in advance, reducing the significance of day-to-day market timing decisions.

Cathay General (CATY) CEO sells 4,836 shares under 10b5-1 plan

Q: At what price did the CATY CEO sell shares in this Form 4 filing?

The CEO’s sale was reported at a weighted-average price of $50.3527 per share. Footnote disclosure explains shares were sold in multiple trades between $50.045 and $50.775 , and detailed trade breakdowns are available to investors upon request.

Q: What does the weighted-average price disclosure mean in the CATY Form 4?

The filing reports a weighted-average sale price of $50.3527 because shares were sold in multiple individual trades between $50.045 and $50.775 . The CEO has committed to provide full trade-by-trade pricing details to the company, investors, or regulators upon request.

Filing Impact

(High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Cathay General Bancorp’s President and CEO Chang Liu reported an open-market sale of 4,836 shares of common stock at a weighted-average price of $50.3527 per share. The transaction was executed automatically under a Rule 10b5-1(c) trading plan. Following this sale, Liu directly holds 127,819 shares of Cathay General Bancorp common stock.

Insider Trade Summary 10b5-1

Net Seller: 4,836 shares ($243,506)

Net Sell 1 txn

Insider Liu Chang

Role President & CEO

Sold 4,836 shs ($244K)

Type	Security	Shares	Price	Value
Sale	Common Stock	4,836	$50.3527	$244K

Holdings After Transaction: Common Stock — 127,819 shares (Direct)

Footnotes (1)

This transaction occurred automatically pursuant to a Rule 10b5-1(c) trading plan adopted by the reporting person on May 1, 2025. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $50.045 to $50.775, inclusive. The reporting person undertakes to provide to Cathay General Bancorp ("Cathay"), any security holder of Cathay, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Key Figures

Shares sold: 4,836 shares Weighted-average sale price: $50.3527 per share Post-transaction holdings: 127,819 shares +1 more

4 metrics

Shares sold 4,836 shares Open-market sale of common stock

Weighted-average sale price $50.3527 per share Reported transaction price

Post-transaction holdings 127,819 shares Shares directly held by CEO after sale

Sale price range $50.045–$50.775 per share Range of individual trade prices

Key Terms

Rule 10b5-1(c) trading plan, weighted-average price, open-market sale

3 terms

Rule 10b5-1(c) trading plan regulatory

"This transaction occurred automatically pursuant to a Rule 10b5-1(c) trading plan adopted..."

A Rule 10b5-1(c) trading plan is a legally defined, pre-set schedule that lets company insiders automatically buy or sell stock at specified times or under set formulas when they are not in possession of undisclosed, sensitive information. Think of it like an automatic payment plan for trades: because the instructions are written in advance, trades under the plan help protect insiders from allegations of trading on secret information and give investors clearer expectations about when insiders will transact, which can affect liquidity and perceived transparency.

weighted-average price financial

"The price reported in Column 4 is a weighted-average price."

open-market sale financial

"transaction_action: "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

Form 4 Insider Transactions: What Each Field Means →

04/07/2026 - 05:57 PM

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^*

Liu Chang

(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
X	Officer (give title below)	Other (specify below)
	President & CEO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/06/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/06/2026		S⁽¹⁾		4,836	D	$50.3527⁽²⁾	127,819	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. This transaction occurred automatically pursuant to a Rule 10b5-1(c) trading plan adopted by the reporting person on May 1, 2025.

2. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $50.045 to $50.775, inclusive. The reporting person undertakes to provide to Cathay General Bancorp ("Cathay"), any security holder of Cathay, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

	/s/ Georgia Lo, attorney-in-fact	04/07/2026
	** 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)

Source: View Original Filing on SEC EDGAR

FAQ

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

Cathay General Bancorp reported that President & CEO Chang Liu sold 4,836 shares of common stock. The sale was an open-market transaction executed under a pre-established Rule 10b5-1(c) trading plan, reflecting an automated disposition rather than a discretionary trade.

At what price did the CATY CEO sell shares in this Form 4 filing?

The CEO’s sale was reported at a weighted-average price of $50.3527 per share. Footnote disclosure explains shares were sold in multiple trades between $50.045 and $50.775, and detailed trade breakdowns are available to investors upon request.

How many Cathay General Bancorp (CATY) shares does the CEO hold after the sale?

After the reported sale, President & CEO Chang Liu directly holds 127,819 shares of Cathay General Bancorp common stock. This figure shows the CEO retains a substantial equity position in the company even after the automated open-market disposition.

What does the weighted-average price disclosure mean in the CATY Form 4?

The filing reports a weighted-average sale price of $50.3527 because shares were sold in multiple individual trades between $50.045 and $50.775. The CEO has committed to provide full trade-by-trade pricing details to the company, investors, or regulators upon request.