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  4. [144] Nu Holdings Ltd. SEC Filing

Nu Holdings Ltd. (NYSE: NU) investor plans sale of 221,707 shares

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
144

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.

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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
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

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.

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

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144: Filer Information

144: Issuer Information

144: Securities Information



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


* 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

144: Remarks and Signature

Source: View Original Filing on SEC EDGAR