Every Form 4 that Cathay General Bancorp (CATY) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow CATY and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full CATY filings page.
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.
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.
CATHAY GENERAL BANCORP (CATY) reported an insider sale by executive Thomas M. Lo, EVP and Chief Admin Officer. On 2026-08-25, he sold 1,600 shares of common stock in a sale categorized as an open market or private transaction at a reported price of $62.47 per share. Following this transaction, he directly holds 2,362 shares of Cathay General Bancorp common stock.
CATHAY GENERAL BANCORP (CATY) director Richard Sun reported a sale of 1,000 shares of Common Stock on 2026-08-25 at an average price of $62.0833 per share, executed through indirect ownership "By Ivy Sun Separate Trust." Following this sale, that trust held 3,200 shares. Sun also reported other indirect holdings, including shares held by Lin-Chih Corporation, his spouse, the Michael Sun Trust, the Sun Trust, JKLM Limited Partnership, and RIS Family Limited Partnership, plus 1,000 shares held directly.
Cathay General Bancorp director Richard Sun reported an indirect sale of 3,000 shares of common stock on 2026-08-10 at $63.09 per share, held by RIS Family Limited Partnership, leaving 2,800 shares in that entity. The filing also lists several indirect family and trust holdings and 1,000 shares held directly.
Cathay General Bancorp director Richard Sun reported indirect open‑market sales totaling 30,000 shares of common stock on July 29–31, 2026, through the Sun Trust and JKLM Limited Partnership. Reported prices are weighted averages based on multiple trades, with sale ranges between $62.40 and $63.42 per share. A footnote also records that on June 30, 2026, 1,593 shares were transferred from direct ownership to the Sun Trust without consideration. Sun continues to report indirect holdings through various family trusts, partnerships and a spouse account, plus 1,000 shares held directly.
At Cathay General Bancorp, SVP and General Counsel May K. Chan reported compensation-related equity activity on July 27, 2026. She converted 1,448 restricted stock units, previously awarded in 2023, into 1,448 shares of common stock upon vesting. To cover tax obligations, 467 common shares were withheld at $62.56 per share under a tax-liability transaction. A footnote states that her direct common stock holdings also include 43.602 shares acquired through dividend reinvestment year-to-date.
Cathay General Bancorp executive Thomas M. Lo, EVP and Chief Administrative Officer, reported the vesting and conversion of 2,896 restricted stock units into an equal number of shares of common stock at no cost on July 27, 2026. On the same date, 934 shares of common stock were disposed of at $62.5600 per share in a transaction reported as payment of obligations by delivering or withholding shares. This RSU award was originally reported in January 2024 and is now fully vested.
Cathay General Bancorp reported a compensation-related equity grant to its SVP and General Counsel, May K. Chan. She received 886 restricted stock units, each representing a contingent right to one share of common stock.
The restricted stock units are scheduled to fully vest on June 26, 2029, or earlier upon death, disability, retirement, or change in control. The filing also shows she directly holds 2,710 shares of common stock, which include 43.602 shares acquired year-to-date through dividend reinvestment.
Lo Thomas M. reported acquisition or exercise transactions in this Form 4 filing.
CATHAY GENERAL BANCORP executive Thomas M. Lo, EVP and Chief Administrative Officer, reported an equity compensation award. He received 1,611 restricted stock units (RSUs), each representing a contingent right to one share of common stock.
The RSUs are scheduled to fully vest on June 26, 2029, or earlier upon death, disability, retirement, or change in control. After these transactions, Lo is shown as directly holding 2,000 shares of common stock and 1,611 RSUs, highlighting a mix of current ownership and deferred, time-based equity compensation.
SUN ALBERT reported acquisition or exercise transactions in this Form 4 filing.
CATHAY GENERAL BANCORP executive vice president and chief credit officer Albert Sun reported new equity compensation awards rather than any open-market trading. The filing shows three grants of restricted stock units (RSUs) tied to the company’s common stock in amounts of 3,102, 1,551 and 1,646 units.
Each RSU represents a contingent right to receive one share of common stock. The actual number earned can range from 0% to 150% of the target award based on performance criteria. These RSUs are scheduled to vest in a single installment on December 31, 2028, subject to continued employment, with potential earlier vesting in limited cases such as death, disability, qualifying retirement, or change in control.
Deen Diana G. reported acquisition or exercise transactions in this Form 4 filing.
Cathay General Bancorp reported that EVP and Chief Risk Officer Diana G. Deen received multiple restricted stock unit (RSU) awards tied to the company’s common stock. On June 26, 2026, she was granted RSUs covering 3,400, 1,700, and 1,804 underlying shares, all at a grant price of $0.00 per unit.
Each RSU represents a contingent right to receive one share of common stock upon vesting, with the final number earned adjustable from 0% to 150% of the target based on specified performance criteria. The RSUs are scheduled to vest in a single installment on December 31, 2028, subject to continued employment, with potential earlier vesting in certain cases such as death, disability, qualifying retirement after December 31, 2027, or a change in control, again based on performance achievement.
CHENG DUNSON K reported acquisition or exercise transactions in this Form 4 filing.
Cathay General Bancorp Executive Chairman Dunson K. Cheng reported new equity awards and updated share holdings. On June 26, 2026, he received three grants of restricted stock units covering 9,186, 4,593, and 4,875 units, each representing a right to receive one share of common stock upon vesting.
The number of units ultimately earned can range from 0% to 150% of the target awards based on specified performance criteria. These awards are scheduled to vest in a single installment on December 31, 2028, subject to continued employment, with potential earlier vesting upon death, disability, qualifying retirement after December 31, 2027, or a change in control.
The filing also lists Cheng’s post-transaction holdings in common stock, including direct ownership and indirect holdings through an ESOP, a Nonmarital Share Trust, and a Husband & Wife Trust, providing a snapshot of his overall equity position in the company.
Wang Albert Jen-Wen reported acquisition or exercise transactions in this Form 4 filing.
Cathay General Bancorp reported compensation-related equity awards for EVP and Chief Financial Officer Albert Jen-Wen Wang. On June 26, 2026, he received several grants of Restricted Stock Units (RSUs), including awards of 5,640, 3,134, 1,567, and 1,663 RSUs.
Each RSU represents a contingent right to receive one share of common stock upon vesting. Some awards can pay out between 0% and 150% of the target based on performance criteria and are scheduled to vest on December 31, 2028, subject to continued employment, with possible earlier vesting upon death, disability, retirement after December 31, 2027, or change in control.
Other RSU awards are scheduled to vest in two equal annual installments beginning June 26, 2027. A separate block of 4,012 RSUs, originally granted on December 8, 2025 as part of his new hire award and previously omitted from an earlier filing, is scheduled to vest on September 8, 2026. Following the reported transactions, the filing shows no directly held common stock shares and continuing direct holdings of unvested RSUs.
Liu Chang reported acquisition or exercise transactions in this Form 4 filing.
CATHAY GENERAL BANCORP President & CEO Liu Chang received new equity awards in the form of Restricted Stock Units (RSUs). On June 26, 2026, Liu was granted 17,727, 8,863, and 9,408 RSUs, for a total of 35,998 units. Each RSU represents a right to receive one share of common stock if specified conditions are met. The actual number of shares earned can range from 0% to 150% of the target award based on performance criteria. These RSUs are scheduled to vest in a single installment on December 31, 2028, subject to continued employment, with potential earlier vesting in cases such as death, disability, certain retirement, or a change in control. Following the reported transactions, Liu directly holds 127,819 shares of common stock.
CATHAY GENERAL BANCORP director and Vice Chairman Anthony M. Tang reported an open-market sale of 5,000 shares of Common Stock at $59.92 per share. After this sale, he directly holds 147,876 shares.
The filing also reports indirect holdings of 371,399 shares held by his spouse, 300,000 shares held through YFO Investments where his spouse is a beneficiary, and 114,410 shares held by an ESOP. A footnote notes that 1,582.906 shares were acquired year-to-date through dividend reinvestment.
Cathay General Bancorp vice chairman Anthony M. Tang reported open-market sales of 25,000 shares of common stock. The sales occurred on June 4, June 5, and June 8, 2026 at weighted-average prices of about $58.16, $58.37, and $58.90 per share, respectively.
After these transactions, Tang directly holds 152,876 common shares. The filing also shows indirect ownership of 371,399 shares held by his spouse, 300,000 shares held through YFO Investments where his spouse is a beneficiary, and 114,410 shares held by an ESOP, providing additional indirect exposure to Cathay General Bancorp stock.
Cathay General Bancorp vice chairman Peter Wu reported an indirect sale of 20,000 shares of Common Stock through PACJU, LLC. The shares were sold in open-market transactions at a weighted-average price of $57.3253 per share, with individual trades ranging from $57.25 to $57.38.
Following the sale, PACJU, LLC held 275,252 shares. The filing also shows Wu holding 1,593 shares directly and 398,814 shares indirectly through the Wu Family Trust as of the reported date, indicating he retains a substantial overall position associated with his role at the company.
Cathay General Bancorp reported an insider stock sale by SVP and General Counsel May K. Chan. On April 28, 2026, Chan executed an open-market sale of approximately 558.1721 shares of Common Stock at $56.00 per share.
After this transaction, Chan directly holds 2,693 shares of Cathay General Bancorp common stock. This total includes 26.332 shares acquired year-to-date through dividend reinvestment, indicating ongoing participation in the company’s dividend reinvestment program alongside the recent sale.
Chan Lana Lai-Yan reported acquisition or exercise transactions in this Form 4 filing.
Cathay General Bancorp director Lana Lai-Yan Chan received a grant of 265 shares of Common Stock. The award was made as fully vested stock at a stated price of $0.00 per share, indicating compensation rather than a market purchase. Following this grant, Chan directly holds 265 shares.
Woo Elizabeth A. reported acquisition or exercise transactions in this Form 4 filing.
CATHAY GENERAL BANCORP director Elizabeth A. Woo received a grant of 1,593 shares of fully vested common stock of CATY. This award increased her directly held common stock to 3,506 shares following the transaction. The shares were granted as compensation, not purchased on the open market.
Kono Ann reported acquisition or exercise transactions in this Form 4 filing.
Cathay General Bancorp director Ann Kono received a stock grant of 1,593 shares of common stock of CATY on April 15, 2026. The shares were granted as fully vested stock with no cash price per share, indicating compensation rather than a market purchase. Following this award, Kono directly holds a total of 3,506 shares of Cathay General Bancorp common stock.
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.
CATHAY GENERAL BANCORP Vice Chairman Peter Wu received a grant of 1,593 shares of Common Stock as fully vested stock compensation. The shares were acquired at no stated price and bring his directly held position to 1,593 shares.
In addition to these shares, the filing lists indirect holdings of 398,814 shares of Common Stock held through the Wu Family Trust and 295,252 shares held through PACJU, LLC.
CATHAY GENERAL BANCORP Vice Chairman Anthony M. Tang received a grant of 1,593 shares of Common Stock on April 15, 2026 at a stated price of $0.00 per share, described as fully vested common stock of CATY.
After the grant, he directly owns 177,876 shares. A footnote states this includes 1,582.906 shares acquired year-to-date through dividend reinvestment. He also reports indirect holdings of 114,410 shares through an ESOP, 300,000 shares through YFO Investments where his spouse is a beneficiary, and 371,399 shares held by his spouse.
Hung Maan-Huei reported acquisition or exercise transactions in this Form 4 filing.
Cathay General Bancorp director Maan-Huei Hung received a grant of 1,593 shares of Common Stock of CATY. The shares were granted as fully vested stock at a stated price of $0.00 per share. Following this compensation award on April 15, 2026, Hung directly holds 12,707 shares of Cathay General Bancorp common stock.
Jelenko Jane H reported acquisition or exercise transactions in this Form 4 filing.
CATHAY GENERAL BANCORP director Jane H. Jelenko received a grant of 1,593 shares of fully vested common stock on April 15, 2026, at no cost. After this grant, she holds 1,593 shares directly, plus 2,116 shares indirectly via the Jelenko-Norris Marital Trust and 12,988 shares via the Jelenko-Norris Survivors Trust.
FERNANDEZ FELIX S reported acquisition or exercise transactions in this Form 4 filing.
Cathay General Bancorp director Felix S. Fernandez received a grant of 1,593 shares of common stock on April 15, 2026. The award was fully vested and carried a reported price of $0.00 per share, indicating equity compensation rather than an open-market purchase. Following the grant, he holds 1,593 shares directly and an additional 14,960 shares indirectly through the Felix & Katherine Fernandez Trust.
CHUNG NELSON reported acquisition or exercise transactions in this Form 4 filing.
Cathay General Bancorp director Nelson Chung received a grant of 1,593 shares of Common Stock on April 15, 2026, as fully vested stock with no cash price per share. Following this award, he holds 10,432 shares directly, in addition to indirect holdings through a Defined Benefit Plan, a Pension Plan, and the Chung Family Trust.
CATHAY GENERAL BANCORP director Shally Wang received a grant of 1,593 shares of fully vested common stock of CATY on April 15, 2026 at no cost per share. Following this award, Wang directly holds 10,908 common shares, which include 67.381 shares acquired year-to-date through dividend reinvestment.
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.
Cathay General Bancorp Executive Chairman Dunson K. Cheng reported multiple compensation-related equity transactions. On April 1, 2026, he exercised and vested a total of 41,395 performance-based restricted stock units (RSUs) into common stock that had been granted earlier and tied to performance goals.
Footnotes show different RSU awards earned between 52.875% and 150% of target based on performance, with these performance-based RSUs vesting on December 31, 2025. To cover tax obligations, 13,320 common shares were withheld at $50.69 per share, classified as tax-withholding dispositions rather than market sales.
After these vesting and withholding entries, Cheng holds 167,531 common shares directly, along with additional indirect holdings reported through a Husband & Wife Trust, a Nonmarital Share Trust, and an ESOP. No open-market purchases or sales were reported in this filing.
Cathay General Bancorp President & CEO Chang Liu reported multiple equity compensation transactions. On April 1, 2026, performance-based restricted stock units covering 47,954 shares of common stock were earned and converted based on the achievement of specified performance criteria.
The underlying awards were target grants of 11,581, 12,124 and 24,249 performance-based restricted stock units, with 121.74%, 150% and 52.875% of the targets earned, respectively. As part of the vesting, 25,046 shares of common stock were withheld at $50.69 per share to satisfy tax obligations, a non-market tax-withholding disposition. Following these transactions, Liu directly owned 132,655 shares of Cathay General common stock.
Cathay General Bancorp director Felix S. Fernandez reported an indirect sale of common stock linked to a trust. On January 29, 2026, the Felix & Katherine Fernandez Trust sold 8,972 shares of Cathay General Bancorp common stock at a weighted-average price of $50.54 per share, in multiple trades between $50.41 and $50.61. After this transaction, the trust beneficially owned 14,960 shares indirectly, while the director’s direct holdings were listed as zero.
Cathay General Bancorp executive vice president and chief administrative officer Thomas M. Lo reported a sale of 1,000 shares of common stock on January 29, 2026, at a price of $50.2315 per share. After this transaction, he directly beneficially owned 2,000 common shares.
Cathay General Bancorp (CATY) Executive Chairman and Director reported multiple insider stock sales. On 11/19/2025, the reporting person sold 1,000 shares of common stock at a weighted-average price of $45.7501, leaving 169,950 shares held directly. On 11/20/2025, they sold 14,000 shares at a weighted-average price of $46.2439, and on 11/21/2025, they sold 10,000 shares at a weighted-average price of $47.8524, reducing direct holdings to 145,950 shares.
In addition to these direct holdings, the reporting person has indirect beneficial ownership of 384,577 shares through a Husband & Wife Trust, 182,452 shares through a Nonmarital Share Trust, and 102,889 shares through an ESOP. The prices on two sale dates reflect weighted-average prices for multiple trades within disclosed ranges.
Cathay General Bancorp (CATY) reported an insider transaction by its President & CEO, who is also a Director. On 10/28/2025, the insider sold 5,165 shares of common stock pursuant to a Rule 10b5-1(c) trading plan adopted on May 1, 2025. The sale executed at a weighted-average price of $46.2399, with individual trades between $45.82 and $46.48. Following the transaction, the insider beneficially owns 108,478 shares, held directly. The filing was made by one reporting person.
Cathay General Bancorp insider filed a Form 4 reporting a sale of common stock.
On 10/27/2025, the EVP, Chief Admin Officer sold 1,000 shares of common stock at $46.8284 per share. After this transaction, the reporting person beneficially owned 3,000 shares, held directly.
Jane H. Jelenko, a director of Cathay General Bancorp (CATY), reported changes in her beneficial ownership on Form 4. On 09/10/2025 she disposed of 1,037 shares of Cathay common stock under code G(1), which the filing explains was a charitable contribution to a donor advised fund. The filing also notes that on 06/02/2025 1,913 shares were transferred from direct ownership into the Jelenko-Norris Survivors Trust without consideration, changing those shares to indirect ownership. After the reported disposal, the filing shows 12,988 shares beneficially owned indirectly by trusts associated with the reporting person. The Form 4 was signed by an attorney-in-fact on behalf of the reporting person.