NIO (NIO) CFO Qu Yu details option, RSU and ADS holdings
Filing Impact
Filing Sentiment
Form Type
3
Rhea-AI Filing Summary
NIO Inc. filed a Form 3 showing that Chief Financial Officer Qu Yu holds several option and restricted share unit awards tied to Class A ordinary shares, plus American depositary shares. The holdings include options to acquire 64,585 shares at an exercise price of $3.6100 per share expiring on December 31, 2030, and other option grants with exercise prices ranging from $1.9400 to $2.5500 expiring between 2028 and 2030. Footnotes state these options were granted under NIO’s share incentive plans and are fully vested as of the Form 3 date. Qu Yu also holds multiple restricted share unit awards that vest on various dates from June 1, 2026 through September 1, 2029, each representing the contingent right to receive Class A ordinary shares upon vesting, and directly holds 215,088 American depositary shares, with each ADS representing one Class A ordinary share.
Positive
- None.
Negative
- None.
Insider Trade Summary
18 transactions reported
Mixed
18 txns
Insider
Qu Yu
Role
Chief Financial Officer
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Options (right to buy) | -- | -- | -- |
| holding | Options (right to buy) | -- | -- | -- |
| holding | Options (right to buy) | -- | -- | -- |
| holding | Options (right to buy) | -- | -- | -- |
| holding | Options (right to buy) | -- | -- | -- |
| holding | Options (right to buy) | -- | -- | -- |
| holding | Restricted share units | -- | -- | -- |
| holding | Restricted share units | -- | -- | -- |
| holding | Restricted share units | -- | -- | -- |
| holding | Restricted share units | -- | -- | -- |
| holding | Restricted share units | -- | -- | -- |
| holding | Restricted share units | -- | -- | -- |
| holding | Restricted share units | -- | -- | -- |
| holding | Restricted share units | -- | -- | -- |
| holding | Restricted share units | -- | -- | -- |
| holding | Restricted share units | -- | -- | -- |
| holding | Restricted share units | -- | -- | -- |
| holding | American depositary shares | -- | -- | -- |
Holdings After Transaction:
Options (right to buy) — 64,585 shares (Direct);
Restricted share units — 45,000 shares (Direct);
American depositary shares — 215,088 shares (Direct)
Footnotes (1)
- Each American depositary share represents one Class A ordinary share. Represents options granted to the reporting person pursuant to the issuer's share incentive plans, all of which have vested as of the date of this Form 3. Represents restricted share units granted to the reporting person pursuant to the issuer's share incentive plans, which do not have expiration dates. The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting, and will vest on 09/01/2026. Represents restricted share units granted to the reporting person pursuant to the issuer's share incentive plans, which do not have expiration dates. The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting, and will vest on 03/01/2027. Represents restricted share units granted to the reporting person pursuant to the issuer's share incentive plans, which do not have expiration dates. The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting, and will vest on 03/01/2028. Represents restricted share units granted to the reporting person pursuant to the issuer's share incentive plans, which do not have expiration dates. The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting, and will vest on 06/01/2026. Represents restricted share units granted to the reporting person pursuant to the issuer's share incentive plans, which do not have expiration dates. The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting, and will vest on 09/01/2026. Represents restricted share units granted to the reporting person pursuant to the issuer's share incentive plans, which do not have expiration dates. The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting, and will vest on 09/01/2027. Represents restricted share units granted to the reporting person pursuant to the issuer's share incentive plans, which do not have expiration dates. The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting, and will vest on 09/01/2028. Represents restricted share units granted to the reporting person pursuant to the issuer's share incentive plans, which do not have expiration dates. The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting, and will vest on 09/01/2029. Represents restricted share units granted to the reporting person pursuant to the issuer's share incentive plans, which do not have expiration dates. The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting, and will vest on 03/01/2027. Represents restricted share units granted to the reporting person pursuant to the issuer's share incentive plans, which do not have expiration dates. The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting, and will vest on 03/01/2028. Represents restricted share units granted to the reporting person pursuant to the issuer's share incentive plans, which do not have expiration dates. The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting, and will vest on 03/01/2029.
FAQ
What does NIO (NIO) disclose about CFO Qu Yu in this Form 3?
The Form 3 shows NIO Chief Financial Officer Qu Yu’s existing equity holdings, including stock options, restricted share units, and American depositary shares. It establishes his initial reportable position as an insider under U.S. securities rules, without recording any new buy or sell transactions.
What stock options does NIO CFO Qu Yu hold according to the Form 3?
Qu Yu holds multiple option grants over NIO Class A ordinary shares, including 64,585 shares at an exercise price of $3.6100 expiring on December 31, 2030. Additional grants have exercise prices between $1.9400 and $2.5500, with expirations running from 2028 through 2030.
Are NIO CFO Qu Yu’s stock options vested as of this Form 3 filing?
Yes. A footnote explains that all options reported for NIO CFO Qu Yu were granted under the company’s share incentive plans and are fully vested as of the Form 3 date. Vesting is complete, though the options have future expiration dates extending to 2030.
When will NIO CFO Qu Yu’s RSUs reported here vest?
Footnotes state that Qu Yu’s RSUs vest across multiple future dates, such as June 1, 2026, September 1, 2026, March 1, 2027, March 1, 2028, and March 1, 2029. Upon vesting, each RSU converts into one NIO Class A ordinary share.