SEC Form 4 · accession 0001437749-26-025265
CATHAY GENERAL BANCORP · CATY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Sun
Director
Period of report
Jul 29, 2026
Accepted (ET)
Jul 31, 2026 · 7:10 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 StockF2 | Jul 29, 2026 | S | 10,000 | $63.3343 | D | 7,315 | I | By JKLM Limited Partnership |
| Common StockF3,F1 | Jul 29, 2026 | S | 10,000 | $63.2899 | D | 11,340 | I | By Sun Trust |
| Common StockF4 | Jul 30, 2026 | S | 5,000 | $63.3118 | D | 6,340 | I | By Sun Trust |
| Common StockF5 | Jul 31, 2026 | S | 5,000 | $62.4251 | D | 2,315 | I | By JKLM Limited Partnership |
| Common Stock | holding | — | — | — | 4,200 | I | By Ivy Sun Separate Trust | |
| Common Stock | holding | — | — | — | 1,800 | I | by Lin-Chih Corporation | |
| Common Stock | holding | — | — | — | 5,800 | I | by RIS Family Limited Partnership | |
| Common Stock | holding | — | — | — | 1,100 | I | By spouse | |
| Common Stock | holding | — | — | — | 1,600 | I | by Michael Sun Trust | |
| Common StockF1 | holding | — | — | — | 1,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On June 30, 2026, 1,593 shares of common stock of Cathay General Bancorp were transferred from direct ownership to the Sun Trust as indirect ownership, without the payment of any consideration.
- F2The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $63.27 to $63.42, 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.
- F3The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $63.23 to $63.39, 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.
- F4The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $63.31 to $63.33, 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.
- F5The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $62.40 to $62.47, 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.