[144] Nu Holdings Ltd. SEC Filing

Rhea-AI Filing Summary

Nu Holdings Ltd. (NU) filed a Form 144 notice reporting a proposed sale of 886,958 common shares through Morgan Stanley Smith Barney LLC on the NYSE, with an aggregate market value of $13,801,687.35. The filer reports total outstanding shares of 3,768,057,942, and the approximate sale date is 09/11/2025. The securities were acquired on 11/15/2024 via previously exercised options and paid in cash. The filer certifies no undisclosed material adverse information and provides the standard legal attestations.

Insights

Securities Analyst

TL;DR: Insider plans to sell ~887k NU shares valued at $13.8M; acquisition from exercised options on 11/15/2024.

The filing discloses a proposed sale of 886,958 common shares through Morgan Stanley Smith Barney LLC with an aggregate market value of $13,801,687.35 and an approximate trade date of 09/11/2025. The shares were acquired on 11/15/2024 from the issuer through previously exercised options and were paid for in cash. Given the issuer's reported outstanding share count of 3,768,057,942, this sale represents a very small fraction of total shares outstanding. The notice follows Rule 144 disclosure and includes the standard attestation regarding undisclosed material information.

Corporate Governance Expert

TL;DR: Form 144 is a routine compliance filing for a planned insider sale; no new governance concerns disclosed.

The document is a standard Rule 144 notice indicating the proposed disposition method, broker details, and acquisition history for the securities to be sold. The seller states the shares were obtained via previously exercised options and that payment was cash. The filing contains the customary representation that the seller is not aware of any undisclosed material adverse information. There are no disclosures here of governance changes, related-party transactions beyond the sale, or litigation affecting the issuer.

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	886958	13801687.35	3768057942	09/11/2025	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	11/15/2024	Previously Exercised Options	Issuer			800162	11/15/2024	Cash
Common	11/15/2024	Previously Exercised Options	Issuer			86796	11/15/2024	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

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 did Nu Holdings Ltd. (NU) disclose in this Form 144?

The filing reports a proposed sale of 886,958 common shares via Morgan Stanley Smith Barney LLC on the NYSE, valued at $13,801,687.35, with an approximate sale date of 09/11/2025.

How and when were the shares being sold acquired?

The shares were acquired on 11/15/2024 through previously exercised options from the issuer and payment was made in cash.

How many NU shares are outstanding according to the filing?

The filing reports 3,768,057,942 shares outstanding.

Who is the broker handling the proposed sale?

The broker is Morgan Stanley Smith Barney LLC, Executive Financial Services, 1 New York Plaza, 8th Floor, New York, NY 10004.

Does the filing state any undisclosed material information about Nu Holdings?

The filer represents by signature that they do not know any material adverse information about the issuer that has not been publicly disclosed.