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 submitted a foreign issuer report for March 2026. The filing notes an attached announcement (Exhibit 99.1) filed with The Stock Exchange of Hong Kong Limited regarding a delay in publication of its 2025 annual results and the continued suspension of trading in its Hong Kong-listed shares.
Lufax Holding Ltd reported a senior management change, announcing that Mr. Dongqi Chen has tendered his resignation as General Manager of the company. His resignation is effective March 31, 2026 and is described as being due to his personal work arrangement.
The company expressed appreciation for Mr. Chen’s significant contributions during his tenure. Lufax describes itself as a leading financial services enabler for small business owners in China, offering financing products and maintaining relationships with 85 financial institutions as funding partners.
Ping An Insurance (Group) Company of China, Ltd. and its affiliates filed Amendment No. 3 to their Schedule 13D on Lufax Holding Ltd, updating their reported beneficial ownership and convertible note terms.
Ping An reports beneficial ownership of 1,579,768,074 ordinary shares of Lufax, representing 73.3% of the class, including 421,077,586 ordinary shares issuable upon conversion of promissory notes whose conversion period begins by April 30, 2026. An Ke Technology Company Limited reports 967,011,824 shares (44.9%) and China Ping An Insurance Overseas (Holdings) Limited reports 612,756,250 shares (28.4%), each figure including ordinary shares currently held and shares issuable from the same convertible notes. The percentage calculations are based on 2,154,455,370 ordinary shares, including 1,733,377,784 issued and outstanding shares and the 421,077,586 shares underlying the notes. The filing also confirms no reported transactions in Lufax ordinary shares by these reporting persons during the past 60 days and restates governance details and prior agreements linked to Ping An’s long‑standing strategic stake.
Lufax Holding Ltd director Yip Dicky Peter has filed an initial statement of beneficial ownership of securities. This Form 3 filing establishes his status as a reporting insider of the company but does not report any share purchases, sales, or other transactions.
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.