Lufax Holding (NYSE: LU) director Chim Wai Kin files initial ownership with no shares

Rhea-AI Filing Summary

Lufax Holding Ltd lists Chim Wai Kin as a director and reporting person in an initial beneficial ownership report. The disclosure shows no common share or derivative holdings for him and reflects no buy, sell, exercise, gift, or other transactions in Lufax securities.

Key Terms

beneficial ownership, reporting person, ten percent owner

3 terms

beneficial ownership financial

"initial statement of beneficial ownership as a reporting person"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

reporting person financial

"identifies him as a reporting person and director"

ten percent owner financial

"flags that he is not a ten percent owner"

AI-generated analysis. How Rhea-AI works. Not financial advice.

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FAQ

What does Lufax Holding (LU) disclose about Chim Wai Kin’s role?

Lufax Holding identifies Chim Wai Kin as a director and reporting person. He is not listed as an officer and is not marked as a ten percent owner of the company’s securities.

Does the Form 3 for Lufax (LU) show any share ownership by Chim Wai Kin?

The Form 3 for Lufax shows no reported holdings for Chim Wai Kin. There are no entries for common shares or derivative securities, indicating no Lufax securities are listed as beneficially owned by him in this report.

Are any buy or sell transactions reported for Chim Wai Kin in Lufax (LU) stock?

No. The transaction summary shows zero buy, sell, exercise, gift, or restructuring transactions for Chim Wai Kin. This initial report only establishes his status without recording any trading activity in Lufax securities.

Is Chim Wai Kin considered a ten percent owner of Lufax (LU)?

No. The reporting details indicate is_ten_percent_owner = 0 for Chim Wai Kin. This means he is classified as a director but not as a ten percent beneficial owner of Lufax Holding Ltd.

Does the Lufax (LU) Form 3 list any derivative securities for Chim Wai Kin?

No derivative positions are listed for Chim Wai Kin. The derivative summary is empty, and there are no option, warrant, or similar derivative holdings reported for him in this initial beneficial ownership statement.

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

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Chim Wai Kin

(Last) (First) (Middle)

NO. 65 KAYUAN 2ND ROAD,

PUDONG NEW DISTRICT

(Street)

SHANGHAI CHINA 200032

(City) (State) (Zip)

CHINA

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
08/04/2026

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)

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

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)

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

Explanation of Responses:

No securities are beneficially owned.

	/s/ Wai Kin Chim	08/04/2026
	** 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)