Lufax (NYSE: LU) CTO discloses option and ADS holdings in Form 3

Rhea-AI Filing Summary

Lufax Holding Ltd Chief Technology Officer Mao Jinliang filed an initial statement of beneficial ownership. The filing lists stock options over 228,537 ordinary shares at an exercise price of $15.18 expiring in 2026, 49,682 shares at $14.22 expiring in 2027, and 99,365 shares at $18.06 expiring in 2027. It also reports direct ownership of 34,694 American Depositary Shares. Each ADS represents two ordinary shares. The entry reflects existing holdings and does not show any new purchases or sales.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Mao Jinliang

(Last) (First) (Middle)

TOWER A, SHANGHAI PING AN BUILDING,

NO. 206 KAIBIN ROAD, XUHUI DISTRICT

(Street)

SHANGHAI 200032

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
Lufax Holding Ltd [ LU ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Technology Officer

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
American Depositary Shares(1)	34,694	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Options (right to buy)	04/30/2021	05/01/2026	Ordinary Shares	228,537	$15.18	D
Stock Options (right to buy)	04/30/2021	04/01/2027	Ordinary Shares	49,682	$14.22	D
Stock Options (right to buy)	12/19/2021	12/29/2027	Ordinary Shares	99,365	$18.06	D

Explanation of Responses:

1. Each American depositary share represents two ordinary shares of the issuer.

	/s/ Jinliang Mao	03/18/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

FAQ

What does Lufax (LU) CTO Mao Jinliang report in this Form 3?

Mao Jinliang reports his existing equity interests in Lufax Holding Ltd, including several stock option grants over ordinary shares and direct ownership of American Depositary Shares. This Form 3 serves as his initial insider ownership disclosure, not a record of recent trading activity.

How many stock options does the Lufax (LU) CTO hold according to the filing?

The CTO holds options over 228,537 ordinary shares at $15.18, 49,682 shares at $14.22, and 99,365 shares at $18.06. These options have expiration dates in 2026 and 2027, outlining his potential future equity exposure if exercised before expiry.

What American Depositary Share holdings are disclosed for Lufax (LU)?

The filing shows direct ownership of 34,694 American Depositary Shares of Lufax Holding Ltd. A footnote states that each ADS represents two ordinary shares, so this position corresponds to a larger economic interest in the company’s ordinary share capital through the ADS structure.

Does this Lufax (LU) Form 3 show any insider buying or selling?

No, the Form 3 lists existing holdings rather than new transactions. All entries are categorized as holdings with unknown transaction codes, meaning it functions as an initial ownership snapshot, not as a record of recent purchases, sales, or option exercises by the CTO.

Why is this Lufax (LU) Form 3 important for investors?

The Form 3 reveals how strongly the CTO is tied to Lufax through equity-based incentives and ADS holdings. Understanding his stock option levels and expirations helps investors see his long-term alignment with company performance and potential sensitivity to future share price movements.