Welcome to our dedicated page for CATHAY GENERAL BANCORP SEC filings (Ticker: CATY), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Cathay General Bancorp filings document the reporting, governance, and capital actions of a bank holding company for Cathay Bank. Form 8-K reports record operating results and financial-condition updates, Regulation FD materials for earnings presentations, common-stock repurchase programs, and officer or director changes.
Proxy filings cover annual-meeting matters, board structure, executive compensation, equity-award disclosures, shareholder voting items, and related governance information. The filing record also connects Cathay Bank's commercial banking, deposit, lending, fee-income, and wealth management activities with public-company disclosures about financial condition and capital structure.
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.
CATY filed a Form 144 reporting the sale of 30,000 shares of Common Stock on 06/04/2026. The filing lists Stifel Nicolaus & Company Inc as the broker and identifies the securities as listed on Nasdaq.
The filing itemizes prior ownership lots acquired on 03/08/1991 (3,049 shares), 01/23/1995 (5,766 shares), 03/07/2008 (16,234 shares), 12/22/2014 (4,971 shares) and 03/19/2015 (1,643 shares).
Cathay General Bancorp updated a prior disclosure to provide more detail on the role of new director Lana Chan. The board appointed her to the Audit Committee and the Investment Committee of both the company and Cathay Bank, effective May 21, 2026.
The board also determined that Ms. Chan qualifies as an “audit committee financial expert” under Regulation S‑K. This amendment focuses solely on her committee assignments and related governance qualifications, with no changes to the company’s financial results or operations.
Cathay General Bancorp reported results of its annual stockholder meeting held on May 18, 2026. Stockholders elected four Class III directors to serve until the 2029 annual meeting, with each nominee receiving over 44.7 million votes in favor and sizeable broker non-votes.
Investors also approved the advisory resolution on executive compensation, with about 47.3 million votes for and 1.1 million against, and indicated a preference to hold this advisory vote every year rather than every two or three years. In addition, stockholders ratified the appointment of KPMG LLP as independent registered public accounting firm for the 2026 fiscal year. There were 66,972,039 common shares entitled to vote as of the March 26, 2026 record date.