Welcome to our dedicated page for Lufax Holding SEC filings (Ticker: LU), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Lufax Holding Ltd. filings document a foreign private issuer operating a China-focused financial services enablement business for small business owners and other borrowers. Form 6-K submissions include annual and interim results materials, condensed consolidated financial statements, Hong Kong Stock Exchange announcements, ESG reporting, and updates on lending-related income categories, credit impairment, expenses, and securities movements.
The filing record also covers ADS and Hong Kong depositary receipt movements, annual general meeting and proxy-related matters, board and committee composition, compliance officer appointments, NYSE listing-compliance communications, subscriptions of wealth management products, and governance disclosures associated with its dual-market public-company reporting.
Lufax Holding Ltd director and Chief Executive Officer Cho Yong Suk filed an initial ownership report showing existing stock option holdings. He holds stock options to buy 100,000 Ordinary Shares at an exercise price of 15.14 expiring on April 8, 2026, and additional options to buy 400,000 Ordinary Shares at an exercise price of 18.06 expiring on December 29, 2027, all held directly.
Lufax Holding Ltd executive Chen Dongqi, the company’s General Manager, has filed an initial ownership report showing his equity interests in the business. He holds stock options covering 300,000 ordinary shares with an exercise price of 14.8000 per share, expiring on August 1, 2026. He also owns 6,189 American depositary shares directly, and each ADS represents two ordinary shares of Lufax.
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.
Lufax Holding Ltd director Li David Xianglin filed an initial ownership report on Form 3. This filing establishes his status as a director and provides a baseline disclosure of his equity position with the company, but it does not report any recent purchases, sales, or other transactions.
Lufax Holding Ltd filed an initial insider ownership report for Ji Xiang (XJ), who serves as Co‑Chief Executive Officer. This Form 3 identifies Ji Xiang as an officer of the company but shows no reported share purchases, sales, gifts, or other transactions in the summarized data.
Lufax Holding Ltd filed an initial statement of beneficial ownership for Li Peifeng, who is identified as a director of the company. This Form 3 does not list any buy, sell, or other share transactions and serves to establish the director’s starting ownership disclosure.
Lufax Holding Ltd filed an initial insider ownership statement for Cheng Jianbo, who serves as Chief Risk Officer. This Form 3 identifies him as an officer subject to insider reporting rules. The filing does not report any buy, sell, or derivative transactions and shows no current holding entries.
Lufax Holding Ltd director files initial ownership report. Director Lee Wai Ping Tina submitted a Form 3 as an insider of Lufax Holding Ltd, establishing her status as a reporting person. The filing lists no transactions or derivative positions and serves as her baseline disclosure as a company director.
Lufax Holding Ltd director Cai Fangfang filed an initial statement of beneficial ownership on Form 3. The filing does not report any transactions or derivative positions and shows no buy, sell, acquire, or dispose activity at this time.
Lufax Holding Ltd director and Chief Financial Officer Xi Tongzhuan has filed a Form 3, which is the initial statement of beneficial ownership required for insiders. The filing shows no reported transactions, with all buy, sell, and derivative activity counts at zero.
This is a routine compliance filing that establishes Xi Tongzhuan’s reporting status as an insider of Lufax, rather than signaling any recent trading in the company’s securities.