[144] Nu Holdings Ltd. SEC Filing

Rhea-AI Filing Summary

Nu Holdings Ltd. (NU) notice reports a proposed sale of 166,528 common shares through Morgan Stanley Smith Barney on the NYSE with an aggregate market value of $2,288,111.37. The securities were acquired as restricted stock from the issuer on 01/01/2021. The filer indicates no sales in the past three months and certifies they are not aware of undisclosed material adverse information. The planned approximate sale date is 08/21/2025. The companys outstanding share count shown on the form is 4,818,658,640, making this sale a very small fraction of total shares outstanding.

Insights

Securities/Fiduciary Compliance Analyst

TL;DR Routine Form 144 filing disclosing an insider's proposed sale of restricted shares; appears compliant and non-material.

The filing documents a proposed brokered sale of 166,528 common shares acquired as restricted stock from the issuer in 2021. The filer states no other sales in the prior three months and affirms absence of undisclosed material adverse information. From a compliance perspective, the form provides the core elements required under Rule 144: acquisition date and type, broker name, aggregate value and estimated sale date. Given the share count versus the issuer's reported outstanding shares, the position size is immaterial and unlikely to trigger market impact concerns.

Equity Research Analyst

TL;DR Small, planned sale by an insider; negligible dilution or market impact based on disclosed numbers.

The notice shows an estimated proceeds of about $2.29 million for 166,528 shares, implying an average per-share value near the disclosed aggregate divided by shares. Compared with 4.82 billion shares outstanding, the proposed sale represents roughly 0.0035% of outstanding stock, so it is unlikely to affect valuation or trading dynamics. No recent insider sales were reported in the past three months, and the securities were originally granted as restricted stock, which is a common insider compensation mechanism.

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	166528	2288111.37	4818658640	08/21/2025	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	01/01/2021	Restricted Stock	Issuer			166528	01/01/2021	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

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 does Nu Holdings Ltd.'s (NU) Form 144 disclose about the proposed sale?

The notice discloses a proposed brokered sale of 166,528 common shares on the NYSE via Morgan Stanley Smith Barney with aggregate value $2,288,111.37 and an approximate sale date of 08/21/2025.

When and how were the securities being sold acquired according to the Form 144?

The securities were acquired as restricted stock from the issuer on 01/01/2021, and the filer reports full payment or not-applicable status for payment.

Does the filing indicate any recent insider sales for NU in the past three months?

The filing states "Nothing to Report" for securities sold during the past three months, indicating no reported insider sales in that period.

How material is the proposed sale relative to Nu Holdings outstanding shares?

The form lists 4,818,658,640 shares outstanding; the proposed sale of 166,528 shares is roughly 0.0035% of outstanding shares, which is immaterial in size.

Who is the broker named on the Form 144 for NU's proposed sale?

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