NU Rule 144 notice for 709,565 shares via Morgan Stanley

Rhea-AI Filing Summary

NU received a Form 144 notice for a proposed secondary sale of 709,565 shares of common stock with an aggregate market value of $11,342,751.31. The filing lists Morgan Stanley Smith Barney LLC as broker, an approximate sale date of 11/14/2025, and indicates trading on the NYSE. Shares outstanding were 4,818,658,640.

The shares to be sold were acquired primarily through restricted stock vesting under a registered plan and previously exercised options, as detailed across multiple vesting dates in 2024–2025. The filing also reports a sale in the past three months of 886,958 shares for $13,801,687.35 by the named seller.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	709565	11342751.31	4818658640	11/14/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	04/01/2025	Restricted stock vesting under a registered plan	Issuer			21224	04/01/2025	Not Applicable
Common	07/01/2024	Restricted stock vesting under a registered plan	Issuer			17945	07/01/2024	Not Applicable
Common	07/01/2025	Restricted stock vesting under a registered plan	Issuer			66042	07/01/2025	Not Applicable
Common	04/01/2025	Restricted stock vesting under a registered plan	Issuer			66042	04/01/2025	Not Applicable
Common	01/02/2025	Restricted stock vesting under a registered plan	Issuer			66042	01/02/2025	Not Applicable
Common	11/15/2024	Previously Exercised Options	Issuer			102315	11/15/2024	Cash
Common	04/01/2025	Restricted stock vesting under a registered plan	Issuer			86105	04/01/2025	Not Applicable
Common	04/01/2025	Restricted stock vesting under a registered plan	Issuer			17945	04/01/2025	Not Applicable
Common	04/01/2024	Restricted stock vesting under a registered plan	Issuer			17945	04/01/2024	Not Applicable
Common	07/01/2025	Restricted stock vesting under a registered plan	Issuer			17945	07/01/2025	Not Applicable
Common	04/01/2024	Restricted stock vesting under a registered plan	Issuer			86104	04/01/2024	Not Applicable
Common	07/01/2025	Restricted stock vesting under a registered plan	Issuer			21224	07/01/2025	Not Applicable
Common	10/01/2024	Restricted stock vesting under a registered plan	Issuer			17946	10/01/2024	Not Applicable
Common	11/15/2024	Restricted stock vesting under a registered plan	Issuer			86796	11/15/2024	Not Applicable
Common	01/02/2025	Restricted stock vesting under a registered plan	Issuer			17945	01/02/2025	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
VITOR GUARINO OLIVIER Campbells Corporate Services Limited Floor 4, Willow House, Cricket Square Grand Cayman E9 KY1-9010	Common	09/11/2025	886958	13801687.35

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does NU’s Form 144 filing disclose?

It notices a proposed sale of 709,565 common shares with an aggregate market value of $11,342,751.31, to be executed on the NYSE.

When is the planned sale under Rule 144 for NU?

The approximate date of sale is 11/14/2025.

Who is the broker for the NU Form 144 sale?

The filing lists Morgan Stanley Smith Barney LLC as broker.

How many NU shares are outstanding?

Shares outstanding were 4,818,658,640.

How were the NU shares to be sold acquired?

They were acquired via restricted stock vesting under a registered plan and previously exercised options.

What NU stock sales occurred in the past 3 months?

The filing reports a sale of 886,958 shares on 09/11/2025 for $13,801,687.35 by the named seller.

On which exchange will the NU shares be sold?

The notice names the NYSE.