Cathay General Bancorp (CATY)
Cathay General Bancorp on one page: short interest, daily short volume, fails to deliver, planned sales, large holders, 13F holders, earnings dates and insider trades. Listed on Nasdaq, classified by the SEC as state commercial banks.
3.4M
Short interest
settlement 2026-09-30
5.9
Days to cover
-1.4 days vs prior
66.1%
Short share of volume
2026-10-23
3,075
Fails to deliver
settlement 2026-09-30
Thu 21 Jan
Next earnings
estimated date
-$2.3M
Insider flow, 90 days
0 buys, 8 sells
As of 2026-10-23.
Short interest
FINRA, twice a month. The newest 48 settlements in the table, 48 in the chart. JSONAs of 30 September 2026, short interest in CATY is 3,403,761 shares, up 613,968 shares over the last month. Over the last 48 readings it ranged from 1,325,854 shares (31 July 2025) to 3,403,761 shares (30 September 2026). The latest reading sits at the top of that range. At the reported average volume of 577K shares a day that is 5.9 days to cover.
Embed this chart.The embed keeps its attribution line.
<iframe src="https://xoomar.com/embed/stocks/caty" width="100%" height="440" style="border:0;max-width:100%" loading="lazy" title="XOOMAR chart"></iframe>
| Settlement | Shares short | Change | Avg daily volume | Days to cover |
|---|---|---|---|---|
| 2026-09-30 | 3,403,761 | +12.8% | 576,759 | 5.90 |
| 2026-09-15 | 3,018,646 | +8.2% | 414,684 | 7.28 |
| 2026-08-31 | 2,789,793 | +11.6% | 356,435 | 7.83 |
| 2026-08-14 | 2,500,165 | +10.1% | 338,408 | 7.39 |
| 2026-07-31 | 2,270,006 | -15.0% | 578,410 | 3.92 |
| 2026-07-15 | 2,671,576 | +5.3% | 494,169 | 5.41 |
| 2026-06-30 | 2,538,426 | +15.5% | 693,866 | 3.66 |
| 2026-06-15 | 2,197,432 | +5.4% | 409,432 | 5.37 |
| 2026-05-29 | 2,085,525 | +7.1% | 366,845 | 5.69 |
| 2026-05-15 | 1,947,466 | +12.2% | 438,320 | 4.44 |
| 2026-04-30 | 1,736,527 | +14.9% | 376,110 | 4.62 |
| 2026-04-15 | 1,510,812 | -1.2% | 338,174 | 4.47 |
| 2026-03-31 | 1,529,604 | -31.1% | 791,213 | 1.93 |
| 2026-03-13 | 2,221,409 | +12.9% | 479,812 | 4.63 |
| 2026-02-27 | 1,967,982 | +0.9% | 362,977 | 5.42 |
| 2026-02-13 | 1,950,831 | +20.0% | 398,922 | 4.89 |
| 2026-01-30 | 1,625,154 | -1.3% | 408,560 | 3.98 |
| 2026-01-15 | 1,646,781 | -4.3% | 364,662 | 4.52 |
| 2025-12-31 | 1,719,887 | -4.6% | 511,653 | 3.36 |
| 2025-12-15 | 1,803,533 | -7.1% | 434,086 | 4.15 |
| 2025-11-28 | 1,940,632 | +13.7% | 379,781 | 5.11 |
| 2025-11-14 | 1,706,746 | -0.6% | 382,120 | 4.47 |
| 2025-10-31 | 1,717,220 | +3.6% | 353,116 | 4.86 |
| 2025-10-15 | 1,657,432 | +4.6% | 309,793 | 5.35 |
| 2025-09-30 | 1,584,761 | -10.0% | 508,859 | 3.11 |
| 2025-09-15 | 1,761,536 | +0.3% | 331,829 | 5.31 |
| 2025-08-29 | 1,755,904 | +9.8% | 290,599 | 6.04 |
| 2025-08-15 | 1,598,741 | +20.6% | 420,673 | 3.80 |
| 2025-07-31 | 1,325,854 | -3.6% | 473,108 | 2.80 |
| 2025-07-15 | 1,374,755 | -8.9% | 410,588 | 3.35 |
| 2025-06-30 | 1,508,996 | -8.4% | 591,179 | 2.55 |
| 2025-06-13 | 1,647,533 | +17.7% | 403,673 | 4.08 |
| 2025-05-30 | 1,399,267 | -9.8% | 328,699 | 4.26 |
| 2025-05-15 | 1,550,965 | -7.7% | 310,946 | 4.99 |
| 2025-04-30 | 1,680,003 | -11.5% | 499,107 | 3.37 |
| 2025-04-15 | 1,897,914 | -21.0% | 621,661 | 3.05 |
| 2025-03-31 | 2,401,159 | +9.2% | 605,573 | 3.97 |
| 2025-03-14 | 2,199,155 | +2.9% | 355,771 | 6.18 |
| 2025-02-28 | 2,137,146 | +16.4% | 356,338 | 6.00 |
| 2025-02-14 | 1,835,575 | -8.0% | 283,642 | 6.47 |
| 2025-01-31 | 1,995,846 | -9.8% | 357,342 | 5.59 |
| 2025-01-15 | 2,211,363 | -7.1% | 318,909 | 6.93 |
| 2024-12-31 | 2,380,645 | -4.7% | 421,387 | 5.65 |
| 2024-12-13 | 2,498,667 | +8.7% | 343,300 | 7.28 |
| 2024-11-29 | 2,298,364 | -6.5% | 242,219 | 9.49 |
| 2024-11-15 | 2,459,179 | +4.7% | 355,644 | 6.91 |
| 2024-10-31 | 2,348,318 | +2.0% | 262,943 | 8.93 |
| 2024-10-15 | 2,301,241 | +5.7% | 194,741 | 11.82 |
Daily short volume
FINRA Reg SHO, the last 30 sessions. JSONAs of 23 October 2026, the short share of CATY volume is 66.1%, down 14.8 points over the last five sessions. Over the last 30 readings it ranged from 57.3% (9 October 2026) to 88.8% (15 September 2026). The latest reading is 5.2 points below the 30-session average of 71.3%, on 168K shares reported.
| Date | Short volume | Total volume | Short share | Exempt |
|---|---|---|---|---|
| 2026-10-23 | 111K | 168K | 66.1% | 1 |
| 2026-10-22 | 197K | 293K | 67.4% | 0 |
| 2026-10-21 | 67K | 87K | 76.3% | 0 |
| 2026-10-20 | 63K | 91K | 68.8% | 160 |
| 2026-10-19 | 45K | 78K | 57.4% | 0 |
| 2026-10-16 | 96K | 119K | 80.9% | 0 |
| 2026-10-15 | 58K | 90K | 64.4% | 0 |
| 2026-10-14 | 45K | 70K | 64.3% | 0 |
| 2026-10-13 | 45K | 61K | 73.2% | 0 |
| 2026-10-12 | 72K | 99K | 73.0% | 0 |
| 2026-10-09 | 30K | 53K | 57.3% | 0 |
| 2026-10-08 | 67K | 107K | 63.1% | 0 |
| 2026-10-07 | 86K | 113K | 76.2% | 0 |
| 2026-10-06 | 53K | 69K | 77.0% | 0 |
| 2026-10-05 | 62K | 89K | 69.9% | 0 |
| 2026-10-02 | 97K | 144K | 67.3% | 0 |
| 2026-10-01 | 63K | 92K | 68.1% | 0 |
| 2026-09-30 | 57K | 80K | 70.6% | 0 |
| 2026-09-29 | 71K | 104K | 67.7% | 0 |
| 2026-09-28 | 47K | 71K | 65.8% | 0 |
| 2026-09-25 | 66K | 112K | 59.3% | 19 |
| 2026-09-24 | 71K | 109K | 65.2% | 2 |
| 2026-09-23 | 86K | 102K | 83.9% | 0 |
| 2026-09-22 | 120K | 162K | 74.3% | 0 |
| 2026-09-21 | 117K | 132K | 88.5% | 0 |
| 2026-09-18 | 94K | 127K | 74.0% | 0 |
| 2026-09-17 | 86K | 124K | 69.6% | 0 |
| 2026-09-16 | 94K | 120K | 78.2% | 1,403 |
| 2026-09-15 | 90K | 102K | 88.8% | 7 |
| 2026-09-14 | 86K | 104K | 83.0% | 0 |
Fails to deliver
SEC, the last 30 settlement dates with a fail. JSONAs of 30 September 2026, the fails-to-deliver balance in CATY is 3,075 shares, up 2,775 shares over the last settlement date. Over the last 30 readings it ranged from 1 share (4 August 2026) to 41,694 shares (1 May 2026). The latest reading sits at the bottom of that range.
| Settlement | Shares failed | Price | Value |
|---|---|---|---|
| 2026-09-30 | 3,075 | $59.86 | $184K |
| 2026-09-25 | 300 | $61.13 | $18K |
| 2026-09-03 | 23 | $62.00 | $1K |
| 2026-08-31 | 10 | $61.87 | $619 |
| 2026-08-28 | 42 | $62.12 | $3K |
| 2026-08-26 | 556 | $61.89 | $34K |
| 2026-08-20 | 411 | $62.51 | $26K |
| 2026-08-13 | 3,226 | $64.46 | $208K |
| 2026-08-04 | 1 | $63.90 | $64 |
| 2026-08-03 | 656 | $63.19 | $41K |
| 2026-07-20 | 489 | $62.71 | $31K |
| 2026-07-17 | 141 | $63.72 | $9K |
| 2026-07-09 | 88 | $60.30 | $5K |
| 2026-07-08 | 634 | $61.46 | $39K |
| 2026-06-30 | 4,112 | $61.83 | $254K |
| 2026-06-24 | 387 | $60.89 | $24K |
| 2026-06-16 | 239 | $60.11 | $14K |
| 2026-06-15 | 136 | $60.98 | $8K |
| 2026-06-08 | 5,000 | $58.22 | $291K |
| 2026-06-05 | 7,491 | $58.18 | $436K |
| 2026-06-03 | 10 | $57.70 | $577 |
| 2026-06-02 | 910 | $56.50 | $51K |
| 2026-06-01 | 1,419 | $57.66 | $82K |
| 2026-05-28 | 281 | $57.42 | $16K |
| 2026-05-26 | 65 | $57.27 | $4K |
| 2026-05-07 | 132 | $57.32 | $8K |
| 2026-05-06 | 639 | $57.11 | $36K |
| 2026-05-01 | 41,694 | $56.03 | $2.3M |
| 2026-04-30 | 14 | $54.80 | $767 |
| 2026-04-08 | 20 | $51.51 | $1K |
Insider trades
SEC Form 4, newest first. JSONInsiders at CATY reported 8 open-market sells worth $2.3M in the last 90 days and no open-market buys. Latest filing: SUN ALBERT (EVP, Chief Credit Officer) on 2026-09-25.
| Date | Insider | Title | Type | Shares | Price | Value | Owned after |
|---|---|---|---|---|---|---|---|
| 2026-09-25 | SUN ALBERT | EVP, Chief Credit Officer | Tax withholding | 457 | $61.45 | $28K | 960 |
| 2026-09-25 | SUN ALBERT | EVP, Chief Credit Officer | Exercise or conversion | 1K | $0.00 | $0 | 1K |
| 2026-09-08 | Wang Albert Jen-Wen | EVP, Chief Financial Officer | Tax withholding | 1K | $61.86 | $80K | 3K |
| 2026-09-08 | Wang Albert Jen-Wen | EVP, Chief Financial Officer | Exercise or conversion | 4K | $0.00 | $0 | 4K |
| 2026-09-02 | Sun Richard | Director | Sell | 1K | $62.31 | $62K | 2K |
| 2026-08-25 | Lo Thomas M. | EVP, Chief Admin Officer | Sell | 2K | $62.47 | $100K | 2K |
| 2026-08-25 | Sun Richard | Director | Sell | 1K | $62.08 | $62K | 3K |
| 2026-08-10 | Sun Richard | Director | Sell | 3K | $63.09 | $189K | 3K |
| 2026-07-31 | Sun Richard | Director | Sell | 5K | $62.43 | $312K | 2K |
| 2026-07-30 | Sun Richard | Director | Sell | 5K | $63.31 | $317K | 6K |
| 2026-07-29 | Sun Richard | Director | Sell | 10K | $63.29 | $633K | 11K |
| 2026-07-29 | Sun Richard | Director | Sell | 10K | $63.33 | $633K | 7K |
| 2026-07-27 | Chan May K. | SVP, General Counsel | Tax withholding | 467 | $62.56 | $29K | 4K |
| 2026-07-27 | Chan May K. | SVP, General Counsel | Exercise or conversion | 1K | $0.00 | $0 | 4K |
| 2026-07-27 | Lo Thomas M. | EVP, Chief Admin Officer | Tax withholding | 934 | $62.56 | $58K | 4K |
| 2026-07-27 | Lo Thomas M. | EVP, Chief Admin Officer | Exercise or conversion | 3K | $0.00 | $0 | 5K |
| 2026-06-09 | TANG ANTHONY M | Vice Chairman | Sell | 5K | $59.92 | $300K | 148K |
| 2026-06-08 | TANG ANTHONY M | Vice Chairman | Sell | 10K | $58.90 | $589K | 153K |
| 2026-06-05 | TANG ANTHONY M | Vice Chairman | Sell | 5K | $58.37 | $292K | 163K |
| 2026-06-04 | TANG ANTHONY M | Vice Chairman | Sell | 10K | $58.16 | $582K | 168K |
| 2026-05-05 | WU PETER | Vice Chairman | Sell | 20K | $57.33 | $1.1M | 275K |
| 2026-04-28 | Chan May K. | SVP, General Counsel | Sell | 558 | $56.00 | $31K | 3K |
| 2026-04-28 | Chan May K. | SVP, General Counsel | Sell | 558 | $56.00 | $31K | 3K |
| 2026-04-15 | Chan Lana Lai-Yan | Director | Grant | 265 | $0.00 | $0 | 265 |
| 2026-04-15 | Woo Elizabeth A. | Director | Grant | 2K | $0.00 | $0 | 4K |
| 2026-04-15 | Kono Ann | Director | Grant | 2K | $0.00 | $0 | 4K |
| 2026-04-15 | Sun Richard | Director | Grant | 2K | $0.00 | $0 | 3K |
| 2026-04-15 | WU PETER | Vice Chairman | Grant | 2K | $0.00 | $0 | 2K |
| 2026-04-15 | TANG ANTHONY M | Vice Chairman | Grant | 2K | $0.00 | $0 | 178K |
| 2026-04-15 | Hung Maan-Huei | Director | Grant | 2K | $0.00 | $0 | 13K |
| 2026-04-15 | Jelenko Jane H | Director | Grant | 2K | $0.00 | $0 | 2K |
| 2026-04-15 | FERNANDEZ FELIX S | Director | Grant | 2K | $0.00 | $0 | 2K |
| 2026-04-15 | CHUNG NELSON | Director | Grant | 2K | $0.00 | $0 | 10K |
| 2026-04-15 | Wang Shally | Director | Grant | 2K | $0.00 | $0 | 11K |
| 2026-04-06 | Liu Chang | President & CEO | Sell | 5K | $50.35 | $244K | 128K |
| 2026-04-01 | CHENG DUNSON K | Executive Chairman | Tax withholding | 4K | $50.69 | $182K | 168K |
| 2026-04-01 | CHENG DUNSON K | Executive Chairman | Exercise or conversion | 12K | $0.00 | $0 | 171K |
| 2026-04-01 | CHENG DUNSON K | Executive Chairman | Tax withholding | 6K | $50.69 | $286K | 159K |
| 2026-04-01 | CHENG DUNSON K | Executive Chairman | Exercise or conversion | 17K | $0.00 | $0 | 165K |
| 2026-04-01 | CHENG DUNSON K | Executive Chairman | Tax withholding | 4K | $50.69 | $207K | 148K |
| 2026-04-01 | CHENG DUNSON K | Executive Chairman | Exercise or conversion | 13K | $0.00 | $0 | 152K |
| 2026-04-01 | Liu Chang | President & CEO | Tax withholding | 7K | $50.69 | $361K | 133K |
| 2026-04-01 | Liu Chang | President & CEO | Exercise or conversion | 14K | $0.00 | $0 | 140K |
| 2026-04-01 | Liu Chang | President & CEO | Tax withholding | 10K | $50.69 | $512K | 126K |
| 2026-04-01 | Liu Chang | President & CEO | Exercise or conversion | 20K | $0.00 | $0 | 136K |
| 2026-04-01 | Liu Chang | President & CEO | Tax withholding | 8K | $50.69 | $397K | 116K |
| 2026-04-01 | Liu Chang | President & CEO | Exercise or conversion | 15K | $0.00 | $0 | 124K |
| 2026-01-29 | Lo Thomas M. | EVP, Chief Admin Officer | Sell | 1K | $50.23 | $50K | 2K |
| 2026-01-29 | FERNANDEZ FELIX S | Director | Sell | 9K | $50.54 | $453K | 15K |
| 2025-12-04 | TANG ANTHONY M | Vice Chairman | Sell | 5K | $49.88 | $249K | 176K |
| 2025-12-02 | TANG ANTHONY M | Vice Chairman | Sell | 5K | $49.00 | $245K | 181K |
| 2025-11-24 | CHENG DUNSON K | Executive Chairman | Sell | 8K | $47.81 | $363K | 138K |
| 2025-11-21 | CHENG DUNSON K | Executive Chairman | Sell | 10K | $47.85 | $479K | 146K |
| 2025-11-20 | CHENG DUNSON K | Executive Chairman | Sell | 14K | $46.24 | $647K | 156K |
| 2025-11-19 | CHENG DUNSON K | Executive Chairman | Sell | 1K | $45.75 | $46K | 170K |
| 2025-10-28 | Liu Chang | President & CEO | Sell | 5K | $46.24 | $239K | 108K |
| 2025-10-27 | Lo Thomas M. | EVP, Chief Admin Officer | Sell | 1K | $46.83 | $47K | 3K |
| 2025-09-10 | Jelenko Jane H | Director | Gift | 1K | $0.00 | $0 | 13K |
| 2025-06-09 | TANG ANTHONY M | Vice Chairman | Sell | 1K | $44.79 | $55K | 186K |
| 2025-06-06 | TANG ANTHONY M | Vice Chairman | Sell | 1K | $44.20 | $53K | 188K |
| 2025-05-15 | Wang Shally | Director | Grant | 2K | $0.00 | $0 | 9K |
| 2025-05-15 | CHUNG NELSON | Director | Grant | 2K | $0.00 | $0 | 9K |
| 2025-05-15 | FERNANDEZ FELIX S | Director | Grant | 2K | $0.00 | $0 | 2K |
| 2025-05-15 | Jelenko Jane H | Director | Grant | 2K | $0.00 | $0 | 2K |
| 2025-05-15 | Hung Maan-Huei | Director | Grant | 2K | $0.00 | $0 | 11K |
| 2025-05-15 | TANG ANTHONY M | Vice Chairman | Grant | 2K | $0.00 | $0 | 189K |
| 2025-05-15 | WU PETER | Vice Chairman | Grant | 2K | $0.00 | $0 | 2K |
| 2025-05-15 | Sun Richard | Director | Grant | 2K | $0.00 | $0 | 3K |
| 2025-05-15 | Kono Ann | Director | Grant | 2K | $0.00 | $0 | 2K |
| 2025-05-15 | Woo Elizabeth A. | Director | Grant | 2K | $0.00 | $0 | 2K |
| 2025-05-12 | TANG ANTHONY M | Vice Chairman | Sell | 2K | $45.08 | $90K | 187K |
| 2025-05-12 | Lo Thomas M. | EVP, Chief Admin Officer | Sell | 729 | $45.00 | $33K | 4K |
| 2025-04-01 | Liu Chang | President & CEO | Tax withholding | 8K | $42.82 | $355K | 105K |
| 2025-04-01 | Liu Chang | President & CEO | Exercise or conversion | 14K | $0.00 | $0 | 102K |
| 2025-04-01 | Liu Chang | President & CEO | Tax withholding | 7K | $42.82 | $283K | 95K |
| 2025-04-01 | Liu Chang | President & CEO | Tax withholding | 8K | $42.82 | $344K | 114K |
| 2025-04-01 | Liu Chang | President & CEO | Exercise or conversion | 17K | $0.00 | $0 | 122K |
| 2025-04-01 | Liu Chang | President & CEO | Exercise or conversion | 18K | $0.00 | $0 | 113K |
| 2025-04-01 | CHEN HENG W | EVP/CFO | Exercise or conversion | 6K | $0.00 | $0 | 189K |
| 2025-04-01 | CHEN HENG W | EVP/CFO | Exercise or conversion | 6K | $0.00 | $0 | 193K |
| 2025-04-01 | CHEN HENG W | EVP/CFO | Tax withholding | 2K | $42.82 | $90K | 187K |
| 2025-04-01 | CHEN HENG W | EVP/CFO | Tax withholding | 2K | $42.82 | $88K | 191K |
| 2025-04-01 | CHEN HENG W | EVP/CFO | Tax withholding | 2K | $42.82 | $73K | 184K |
| 2025-04-01 | CHEN HENG W | EVP/CFO | Exercise or conversion | 5K | $0.00 | $0 | 185K |
| 2025-04-01 | CHENG DUNSON K | Executive Chairman | Exercise or conversion | 17K | $0.00 | $0 | 165K |
| 2025-04-01 | CHENG DUNSON K | Executive Chairman | Exercise or conversion | 16K | $0.00 | $0 | 176K |
| 2025-04-01 | CHENG DUNSON K | Executive Chairman | Tax withholding | 5K | $42.82 | $211K | 160K |
| 2025-04-01 | CHENG DUNSON K | Executive Chairman | Tax withholding | 5K | $42.82 | $203K | 171K |
| 2025-04-01 | CHENG DUNSON K | Executive Chairman | Tax withholding | 4K | $42.82 | $157K | 148K |
| 2025-04-01 | CHENG DUNSON K | Executive Chairman | Exercise or conversion | 13K | $0.00 | $0 | 152K |
| 2025-03-17 | Lo Thomas M. | EVP, Chief Admin Officer | Exercise or conversion | 2K | $0.00 | $0 | 5K |
| 2025-03-17 | Lo Thomas M. | EVP, Chief Admin Officer | Tax withholding | 764 | $43.98 | $34K | 5K |
| 2025-03-17 | Chan May K. | SVP, General Counsel | Exercise or conversion | 1K | $0.00 | $0 | 4K |
| 2025-03-17 | Chan May K. | SVP, General Counsel | Tax withholding | 435 | $43.98 | $19K | 3K |
| 2025-03-07 | TANG ANTHONY M | Vice Chairman | Sell | 3K | $45.00 | $113K | 189K |
| 2024-12-20 | CHENG DUNSON K | Executive Chairman | Gift | 11K | $0.00 | $0 | 138K |
| 2024-12-10 | TANG ANTHONY M | Vice Chairman | Sell | 3K | $51.52 | $129K | 191K |
| 2024-12-09 | TANG ANTHONY M | Vice Chairman | Sell | 3K | $51.04 | $128K | 194K |
| 2024-11-27 | CHAN KELLY L | Director | Gift | 100 | $0.00 | $0 | 86K |
| 2024-11-06 | WU PETER | Vice Chairman | Sell | 40K | $52.87 | $2.1M | 295K |
Form 4 filings are due within two business days of the trade. Insiders sell for many reasons that say nothing about the company; open-market buys are rarer.
Planned sales (Form 144)
Newest first. JSON17 Form 144 notices on file for CATY worth $9.0M at the prices reported; 7 in the last 90 days worth $2.3M. Latest: Sun Richard filed on 2026-09-02 to sell 1,000 shares ($62K) from 2026-09-02.
| Filed | Seller | Shares | Market value | Of outstanding | Sale from | Broker |
|---|---|---|---|---|---|---|
| 2026-09-02 | Sun RichardDirector | 1K | $62K | 0.001% | 2026-09-02 | Charles Schwab & Co., Inc. |
| 2026-08-25 | Lo Thomas M.Officer | 2K | $100K | 0.002% | 2026-08-25 | Charles Schwab & Co., Inc. |
| 2026-08-25 | Sun RichardDirector | 1K | $62K | 0.001% | 2026-08-25 | Charles Schwab & Co., Inc. |
| 2026-08-10 | Sun RichardDirector | 3K | $189K | 0.004% | 2026-08-10 | Charles Schwab & Co., Inc. |
| 2026-07-31 | Sun RichardDirector | 5K | $312K | 0.007% | 2026-07-31 | Charles Schwab & Co., Inc. |
| 2026-07-30 | Sun RichardDirector | 5K | $317K | 0.007% | 2026-07-30 | Charles Schwab & Co., Inc. |
| 2026-07-29 | Sun RichardDirector | 20K | $1.3M | 0.030% | 2026-07-29 | Charles Schwab & Co., Inc. |
| 2026-06-04 | TANG ANTHONY MDirector | 30K | $1.7M | 0.045% | 2026-06-04 | Stifel Nicolaus & Company Inc |
| 2026-05-05 | PACJU LLCOfficer | 40K | $2.3M | 0.054% | 2026-05-05 | UBS Financial Services Inc |
| 2026-04-28 | Chan May K.Officer | 559 | $31K | 0.001% | 2026-04-28 | Charles Schwab & Co., Inc. |
| 2026-04-06 | Liu ChangOfficer, Director | 5K | $244K | 0.007% | 2026-04-06 | Charles Schwab & Co., Inc. |
| 2026-01-29 | Lo Thomas M.Officer | 1K | $50K | 0.001% | 2026-01-29 | Charles Schwab & Co., Inc. |
| 2025-12-04 | TANG ANTHONY MDirector | 2K | $98K | 0.003% | 2025-12-04 | Stifel Nicolaus & Company Inc |
| 2025-12-03 | TANG ANTHONY MDirector | 8K | $392K | 0.012% | 2025-12-03 | Stifel Nicolaus & Company Inc |
| 2025-11-19 | CHENG DUNSON KOfficer | 33K | $1.5M | 0.048% | 2025-11-19 | Charles Schwab Corp. |
| 2025-10-28 | Liu ChangOfficer, Director | 5K | $239K | 0.007% | 2025-10-28 | Charles Schwab & Co., Inc. |
| 2025-10-27 | Lo Thomas M.Officer | 1K | $47K | 0.001% | 2025-10-27 | Charles Schwab & Co., Inc. |
Large holders (13D and 13G)
One row per reporting person with its latest filing, newest first. JSON2 holders report 5% or more of CATY in their latest filing, all on Schedule 13G (passive). The largest reported stake is Vanguard Portfolio Management at 6.1% of the class (4,111,955 shares), filed 2026-04-29 for an event on 2026-03-31.
| Filed | Form | Holder | Shares | Of class | Event |
|---|---|---|---|---|---|
| 2026-04-29 | 13G | Vanguard Portfolio Managementinvestment adviser | 4.1M | 6.1% | 2026-03-31 |
| 2026-04-29 | 13G | Vanguard Capital Managementinvestment adviser | 3.4M | 5.1% | 2026-03-31 |
| 2026-03-26 | 13G/Ano. 14 | The Vanguard Groupinvestment adviser | 0 | 0.0% | 2026-03-13 |
13F holders
Tracked managers holding CATY at their latest 13F. JSON5 of the 30 tracked managers held CATY at their latest 13F, $69.9M in total at quarter-end prices. D. E. Shaw & Co. is the largest at $23.7M (0.0% of its portfolio) as of 2026-06-30. Over the prior quarter 2 added shares and 3 cut.
| Fund | Quarter | Shares | Value | Of portfolio | Change in shares |
|---|---|---|---|---|---|
| D. E. Shaw & Co. | 2026-06-30 | 383K | $23.7M | 0.01% | -69K |
| Two Sigma Investments | 2026-06-30 | 362K | $22.5M | 0.02% | +233K |
| Renaissance Technologies | 2026-06-30 | 142K | $8.8M | 0.01% | +107K |
| AQR Capital Management | 2026-06-30 | 123K | $7.6M | 0.00% | -945 |
| Millennium Management | 2026-06-30 | 118K | $7.3M | 0.00% | -100K |
Only the 30 tracked managers on the funds hub; a 13F reports long positions in US listed stock at quarter end, 45 days late, and says nothing about shorts or positions sold since.
What this page is
Cathay General Bancorp in the regulatory record
Regulators publish company data in separate files that never sit next to each other: FINRA's twice-monthly short interest, its daily short sale volume, the SEC's fails-to-deliver counts, and each insider's Form 4. A company page puts those series for one ticker on one URL, with planned sales, large holders, 13F holders and financials beside them, so the short position, the daily flow, the settlement fails and what insiders are doing can be read together.
Each section has its own history table, a one-line summary of the latest figures and its own JSON and CSV links, and says when its source last updated.
This page follows Cathay General Bancorp (CATY), SEC CIK 861842, listed on Nasdaq, classified by the SEC as state commercial banks. The cross-market tables live on the short interest and insider transactions hubs.
Source and updates
- Short interest
- FINRA consolidated short interestSource: FINRA.Twice a month, about eight business days after settlement. Latest 2026-09-30.JSON and CSV
- Daily short volume
- FINRA Reg SHO daily filesSource: FINRA.Every trading day, the morning after FINRA posts it. Latest 2026-10-23.JSON and CSV
- Fails to deliver
- SEC fails-to-deliver dataSource: SEC.Twice a month, a few weeks after the half month ends. Latest 2026-09-30.JSON and CSV
- Planned sales
- SEC EDGAR Form 144Source: SEC.New notices appear shortly after the SEC posts them; a notice is filed on or before the sale. Latest 2026-09-02.JSON and CSV
- Large holders
- SEC EDGAR Schedule 13D and 13GSource: SEC.New filings appear shortly after the SEC posts them. A 13D is due within five business days of crossing 5%; a 13G follows the passive schedule. Latest 2026-04-29.JSON and CSV
- 13F holders
- SEC EDGAR Form 13F-HRSource: SEC.Quarterly, filed within 45 days of quarter end; 30 tracked managers. Latest 2026-06-30.JSON and CSV
- Earnings dates
- SEC EDGAR 8-K filings (Item 2.02)Source: SEC.Twice a day. Reported dates come from the company's 8-K filings; the next date is marked as an estimate until the 8-K arrives. Latest 2026-10-21.JSON and CSV
- Insider trades
- SEC EDGAR Form 4Source: SEC.New filings appear shortly after the SEC posts them; they're due two business days after the trade. Latest 2026-09-25.JSON and CSV
- Company record
- EDGAR filing index for CIK 861842Ticker, name and exchange from the SEC's company list, refreshed weekly.
- Rate limits
- 10 requests a minute without a key, 30 with a free key from a free account.
How to read it
- Read the position against the flow: rising short interest with a high daily short share is new shorting; rising short interest with a normal short share is old shorts holding on.
- Insider buys next to a large short position are rare and stand out; insider sells next to one are common and mean little.
- Fails to deliver matter relative to the float, not in absolute shares; a million failed shares in a mega cap is noise.
Analysis of what the data shows, not advice. XOOMAR does not recommend buying, selling or holding anything.
Other companies the SEC classifies as state commercial banks
Other company pages
Datasets
Frequently Asked Questions
How much of CATY is sold short?
3,403,761 shares were held short at the 2026-09-30 settlement, 5.9 days of average volume. FINRA publishes the next count about eight business days after the 15th and the last business day of the month.
What is CATY's daily short volume?
On 2026-10-23, 111,260 of the 168,305 CATY shares reported to FINRA were sold short, 66.1% of the day's reported volume. Short volume is a flow for one day, not a position.
Does CATY have fails to deliver?
The SEC's latest file shows 3,075 CATY shares failed to deliver at settlement 2026-09-30. Fails are reported per settlement date and published twice a month with a lag.
Are CATY insiders buying or selling?
Insiders at CATY reported 8 open-market sells worth $2.3M in the last 90 days and no open-market buys. Latest filing: SUN ALBERT (EVP, Chief Credit Officer) on 2026-09-25.
Have CATY insiders filed to sell?
17 Form 144 notices on file for CATY worth $9.0M at the prices reported; 7 in the last 90 days worth $2.3M. Latest: Sun Richard filed on 2026-09-02 to sell 1,000 shares ($62K) from 2026-09-02.
Who owns 5% or more of CATY?
2 holders report 5% or more of CATY in their latest filing, all on Schedule 13G (passive). The largest reported stake is Vanguard Portfolio Management at 6.1% of the class (4,111,955 shares), filed 2026-04-29 for an event on 2026-03-31.
Which tracked 13F managers own CATY?
5 of the 30 tracked 13F managers held CATY shares at their latest filing, $69.9M in all. The largest: D. E. Shaw & Co. (383K shares, $23.7M), Two Sigma Investments (362K shares, $22.5M), Renaissance Technologies (142K shares, $8.8M), Cliff Asness's AQR Capital Management (123K shares, $7.6M), Izzy Englander's Millennium Management (118K shares, $7.3M).
Data on this page is provided for informational purposes only and is not financial advice. See our editorial policy.