SEC Form 4 · accession 0001437749-26-022186
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Albert Jen-Wen Wang
Officer — EVP, Chief Financial Officer
Period of report
Jun 26, 2026
Accepted (ET)
Jun 30, 2026 · 7:16 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0000861842
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jun 26, 2026 | A | 1,663 | A | — | — | Common Stock | 1,663 | 1,663 | D |
| Restricted Stock UnitsF1,F2 | — | Jun 26, 2026 | A | 1,567 | A | — | — | Common Stock | 1,567 | 1,567 | D |
| Restricted Stock UnitsF1,F2 | — | Jun 26, 2026 | A | 3,134 | A | — | — | Common Stock | 3,134 | 3,134 | D |
| Restricted Stock UnitsF3,F4 | — | Jun 26, 2026 | A | 5,640 | A | — | — | Common Stock | 5,640 | 5,640 | D |
| Restricted Stock UnitsF3,F5 | — | holding | — | — | — | — | — | Common Stock | 4,012 | 4,012 | D |
Explanation of responses
- F1Each restricted stock unit represented a contingent right to receive one share of Common Stock upon vesting. The number of restricted stock units that are earned can be reduced by up to 100% of the target award or increased by up to 150% of the target award, depending upon the achievement of certain performance criteria.
- F2These restricted stock units are scheduled to vest in a single installment on December 31, 2028, subject to continued employment, but may vest to some extent earlier in the event of death, disability, retirement after December 31, 2027 or a change in control, with the number of units earned being based on the achievement of certain performance criteria.
- F3Each restricted stock unit represented a contingent right to receive one share of Common Stock of the Issuer.
- F4These restricted stock units are scheduled to vest in 2 annual equal installments beginning June 26, 2027, or earlier in the event of death, disability, retirement, or change in control.
- F5These restricted stock units are scheduled to vest on September 8, 2026, or earlier in the event of death, disability, retirement, or change in control. The restricted stock units were originally granted on December 8, 2025 as part of Reporting Person's new hire award but were inadvertently omitted from the Form 3 filed on March 2, 2026.