NU (NU) holder plans $696,500 sale of 50,000 common shares

Rhea-AI Filing Summary

An affiliate of NU filed a notice of proposed sale of 50,000 shares of common stock through Morgan Stanley Smith Barney LLC Executive Financial Services. The planned sale has an aggregate market value of $696,500.00 and is targeted for August 14, 2026 on the NYSE.

The shares relate to 25,000 Restricted Stock Units granted on July 1, 2021 and 25,000 shares from previously exercised stock options dated October 25, 2024 that were exercised for cash.

Key Figures

Planned shares to be sold: 50,000 shares Aggregate market value: $696,500.00 Proposed sale date: 08/14/2026 +2 more

5 metrics

Planned shares to be sold 50,000 shares Common stock proposed for sale through Morgan Stanley Smith Barney LLC Executive Financial Services

Aggregate market value $696,500.00 Estimated value of the 50,000 common shares proposed for sale

Proposed sale date 08/14/2026 Target date for NYSE sale of the 50,000 common shares

RSU-related shares 25,000 shares Shares tied to Restricted Stock Units dated 07/01/2021

Previously exercised option shares 25,000 shares Shares from stock options previously exercised on 10/25/2024 for cash

Key Terms

Restricted Stock Units, Previously Exercised Stock Options, Executive Financial Services, Form 144

4 terms

Restricted Stock Units financial

"Common | 07/01/2021 | Restricted Stock Units | Issuer"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Previously Exercised Stock Options financial

"Common | 10/25/2024 | Previously Exercised Stock Options | Issuer"

Executive Financial Services financial

"Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza"

Form 144 regulatory

"144: Securities Information Common"

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.

FAQ

What stock sale is being planned in this Form 144 for NU?

The filing indicates a planned sale of 50,000 shares of NU common stock with an estimated aggregate value of $696,500.00, to be executed through Morgan Stanley Smith Barney LLC Executive Financial Services.

What is the expected sale date and market for NU shares in this Form 144?

The proposed transaction targets a sale date of August 14, 2026, with the shares of NU common stock expected to be sold on the NYSE, according to the notice.

How many NU shares in the Form 144 come from restricted stock units?

The notice attributes 25,000 shares to Restricted Stock Units originally dated July 1, 2021. These RSU-related shares form half of the total 50,000 shares covered by the planned sale.

How many NU shares in this Form 144 come from previously exercised options?

The filing states that 25,000 shares come from previously exercised stock options dated October 25, 2024, which were exercised for cash and now form the other half of the planned sale.

Which broker is handling the proposed NU share sale in this Form 144?

The planned sale of NU common stock is to be handled by Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, 8th Floor, New York, NY 10004.

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Available on EDGAR 08/14/2026 - 04:38 PM Accepted by SEC EDGAR 08/14/2026 - 04:33 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
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	50000	696500.00	3807883872	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	07/01/2021	Restricted Stock Units	Issuer			25000	07/01/2021	N/A
Common	10/25/2024	Previously Exercised Stock Options	Issuer			25000	10/25/2024	Cash

* 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

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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)