Nu Holdings plans sale of 221,707 shares

A shareholder of Nu Holdings Ltd. has filed to sell up to 221,707 common shares through Morgan Stanley Smith Barney LLC, with an aggregate market value of $3,505,222.00, on or after August 14, 2026 on the NYSE.

Rhea-AI Filing Summary

A shareholder of Nu Holdings Ltd. has filed to sell up to 221,707 common shares through Morgan Stanley Smith Barney LLC, with an aggregate market value of $3,505,222.00, on or after August 14, 2026 on the NYSE.

The shares are tied to restricted stock vesting under a registered compensation plan, with multiple vesting events listed between 2022 and 2026, including grants that vested or are scheduled to vest on several dates in 2023, 2024, 2025, and 2026.

Key Figures

Planned shares to be sold: 221,707 shares Aggregate market value: $3,505,222.00 Proposed sale date: 08/14/2026 +3 more

6 metrics

Planned shares to be sold 221,707 shares Common stock planned for sale through Morgan Stanley Smith Barney LLC

Aggregate market value $3,505,222.00 Aggregate market value of the planned 221,707-share sale

Proposed sale date 08/14/2026 Date associated with the planned sale of Nu Holdings common shares

Restricted stock vesting 39,615 shares Restricted stock vesting on 01/03/2023 under a registered plan

Additional vesting tranche 39,615 shares Restricted stock vesting on 07/03/2023 under a registered plan

Future vesting tranche 34,808 shares Restricted stock vesting on 04/01/2025 under a registered plan

Key Terms

Form 144, restricted stock vesting, registered plan, aggregate market value

4 terms

Form 144 regulatory

"144: Securities Information Common | Morgan Stanley Smith Barney LLC"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

restricted stock vesting financial

"Common | 04/03/2023 | Restricted Stock Vesting Under a Registered Plan"

Restricted stock vesting is the timetable and conditions under which shares granted to employees or insiders become fully owned and can be sold, typically requiring continued work or meeting performance goals. It matters to investors because large blocks of shares can become tradable at once, which can change share supply and price, and because vesting aligns insiders’ incentives with the company’s long‑term performance—think of it like a timed unlock that both rewards and locks in key people.

registered plan financial

"Restricted Stock Vesting Under a Registered Plan | Issuer"

A registered plan is a savings or investment account that a government recognizes for special tax treatment and rules, such as limits on how much you can put in and conditions for withdrawals. For investors it matters because those rules change how much of your gains are taxed, how quickly your money can be accessed and what strategies make sense — like a labeled jar that gives tax breaks but comes with rules about when and how you can take the money out.

aggregate market value financial

"Common | Morgan Stanley Smith Barney LLC ... | 221707 | 3505222.00"

Aggregate market value is the combined price you would pay to buy all outstanding shares of a company or all companies in a group at current market prices — essentially the sum of each stock’s market capitalization. It matters to investors because it shows the overall size and weight of an investment or sector (like the total cost to buy every piece of a puzzle), helps compare scale across companies or markets, and influences index composition and risk exposure.

FAQ

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

What stock sale is disclosed for Nu (NU) in this Form 144?

The filing covers a planned sale of up to 221,707 common shares of Nu Holdings Ltd., with an aggregate market value of $3,505,222.00, to be executed through Morgan Stanley Smith Barney LLC on the NYSE.

When is the planned Nu (NU) share sale expected to occur?

The planned sale is indicated for August 14, 2026. This date represents when the filer expects to begin selling up to 221,707 Nu Holdings common shares through Morgan Stanley Smith Barney LLC on the NYSE.

How many Nu (NU) shares are tied to the compensation vesting events?

The filing lists multiple restricted stock vesting events, including 39,615 shares vesting on January 3, 2023 and 39,615 shares vesting on July 3, 2023, plus additional smaller tranches vesting in 2022, 2024, 2025, and 2026.

What is the role of Morgan Stanley Smith Barney LLC in the Nu (NU) Form 144?

Morgan Stanley Smith Barney LLC is identified as the broker handling the proposed sale of 221,707 Nu Holdings common shares, operating from its Executive Financial Services unit at 1 New York Plaza and executing trades on the NYSE.

Are the Nu (NU) shares in this Form 144 related to employee compensation?

Yes. The shares are linked to restricted stock vesting under a registered plan, with the source of securities repeatedly described as “Compensation,” indicating they arose from equity-based compensation awards that vested over several years.

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

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Available on EDGAR 08/14/2026 - 04:26 PM Accepted by SEC EDGAR 08/14/2026 - 04:18 PM Learn about SEC filing dates

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	0001973610
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	NU HOLDINGS LTD.
SEC File Number	001-41129
Address of Issuer	RUA CAPOTE VALENTE, 39 PINHEIROS SAO PAULO, SP BRAZIL 05409-000
Phone	888-888-8888
Name of Person for Whose Account the Securities are To Be Sold	HENRIQUE CAMOSSA SALDANHA FRAGELLI & ROBERTA NARIKAWA
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	Officer

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	221707	3505222.00	3807884000	08/14/2026	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	04/03/2023	Restricted Stock Vesting Under a Registered Plan	Issuer			19615	04/03/2023	Compensation
Common	04/01/2026	Restricted Stock Vesting Under a Registered Plan	Issuer			8490	04/01/2026	Compensation
Common	04/01/2025	Restricted Stock Vesting Under a Registered Plan	Issuer			34808	04/01/2025	Compensation
Common	10/01/2025	Restricted Stock Vesting Under a Registered Plan	Issuer			8489	10/01/2025	Compensation
Common	01/03/2023	Restricted Stock Vesting Under a Registered Plan	Issuer			39615	01/03/2023	Compensation
Common	04/01/2024	Restricted Stock Vesting Under a Registered Plan	Issuer			1551	04/01/2024	Compensation
Common	07/01/2022	Restricted Stock Vesting Under a Registered Plan	Issuer			3069	07/01/2022	Compensation
Common	04/01/2024	Restricted Stock Vesting Under a Registered Plan	Issuer			7299	04/01/2024	Compensation
Common	01/02/2026	Restricted Stock Vesting Under a Registered Plan	Issuer			10022	01/02/2026	Compensation
Common	04/01/2026	Restricted Stock Vesting Under a Registered Plan	Issuer			12355	04/01/2026	Compensation
Common	04/01/2025	Restricted Stock Vesting Under a Registered Plan	Issuer			6756	04/01/2025	Compensation
Common	07/03/2023	Restricted Stock Vesting Under a Registered Plan	Issuer			39615	07/03/2023	Compensation
Common	01/02/2026	Restricted Stock Vesting Under a Registered Plan	Issuer			8489	01/02/2026	Compensation
Common	10/01/2025	Restricted Stock Vesting Under a Registered Plan	Issuer			10767	10/01/2025	Compensation
Common	04/01/2026	Restricted Stock Vesting Under a Registered Plan	Issuer			10767	04/01/2026	Compensation

* 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

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	08/14/2026
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	/s/ Henrique Camossa Saldanha Fragelli
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)