NIO CEO of U.S. unit reports vested equity stake

NIO Inc. filed an initial ownership report for Ganesh V. Iyer, CEO of NIO U.S., detailing his equity stake in the company.

Accepted by SEC EDGAR 03/18/2026 - 05:43 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

NIO Inc. filed an initial ownership report for Ganesh V. Iyer, CEO of NIO U.S., detailing his equity stake in the company. He directly holds 275,000 Class A ordinary shares and 480,762 American depositary shares, with each ADS representing one Class A ordinary share.

He also holds multiple vested employee stock options over Class A ordinary shares, including options covering 125,000 shares at an exercise price of $0.27 per share and 500,000 shares at $2.05 per share, with expiration dates between 2028 and 2030. According to the filing, all reported options have vested as of the Form 3 date, and the entries reflect holdings rather than new purchases or sales.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Iyer Ganesh V

Role CEO of NIO U.S.

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	Class A ordinary shares	--	--	--
Holding	American depositary shares	--	--	--

Holdings: Options (right to buy) — 735,000 contracts (Direct); Class A ordinary shares — 275,000 shares (Direct); American depositary shares — 480,762 shares (Direct)

Footnotes (2)

1. F1. Each American depositary share represents one Class A ordinary share.
2. F2. 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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does NIO (NIO) disclose about Ganesh V. Iyer’s share ownership in this Form 3?

The Form 3 shows that Ganesh V. Iyer directly holds 275,000 Class A ordinary shares and 480,762 American depositary shares of NIO Inc. It is an initial ownership statement, listing his existing equity stake rather than reporting new market transactions.

What stock options does NIO (NIO) report for Ganesh V. Iyer in this filing?

NIO reports several option awards giving Iyer the right to buy Class A ordinary shares at exercise prices from $0.27 to $2.55 per share. These option grants cover blocks such as 125,000 and 500,000 underlying shares, with expirations ranging from 2028 through 2030.

Are Ganesh V. Iyer’s NIO (NIO) stock options vested according to the Form 3?

Yes. A footnote states that the options reported were granted under NIO’s share incentive plans and that all of them have vested as of the Form 3 date. This means he has the right to exercise each option position, subject to its stated expiration date.

How are NIO (NIO) American depositary shares related to Class A ordinary shares in this report?

The filing explains that each NIO American depositary share represents one Class A ordinary share. Ganesh V. Iyer directly holds 480,762 ADSs, which correspond to the same number of underlying Class A ordinary shares, providing a clear link between the two security types.

Does this NIO (NIO) Form 3 show any insider buying or selling activity?

No new buying or selling is reported. All entries are categorized as holdings, with transaction codes listed as unknown and buy/sell flags set to false. The document serves as an initial statement of beneficial ownership rather than a record of recent trades.

What is Ganesh V. Iyer’s role at NIO (NIO) as described in the Form 3?

The Form 3 identifies Ganesh V. Iyer as an officer of NIO Inc., specifically serving as CEO of NIO U.S. This role explains why his equity interests, including Class A ordinary shares, ADSs, and vested options, are subject to insider reporting requirements.

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

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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^*

Iyer Ganesh V

(Last) (First) (Middle)

3151 ZANKER ROAD

(Street)

SAN JOSE CALIFORNIA 95134

(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
NIO Inc. [ NIO ]

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)
	CEO of NIO U.S.

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)
Class A ordinary shares	275,000	D
American depositary shares(1)	480,762	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
Options (right to buy)	(2)	12/31/2030	Class A ordinary shares	125,000	$0.27	D
Options (right to buy)	(2)	02/29/2028	Class A ordinary shares	50,000	$2.55	D
Options (right to buy)	(2)	04/01/2030	Class A ordinary shares	40,000	$2.39	D
Options (right to buy)	(2)	12/31/2030	Class A ordinary shares	500,000	$2.05	D
Options (right to buy)	04/02/2026	04/01/2030	Class A ordinary shares	20,000	$2.39	D

Explanation of Responses:

1. Each American depositary share represents one Class A ordinary share.

2. 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.

Remarks:

Exhibit 24 - Power of Attorney

	/s/ Eve Tang, Attorney-in-Fact for Ganesh V. Iyer	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)