NU insider files Form 144 to sell 4,000 vested shares on NYSE

Rhea-AI Filing Summary

Nu Holdings Ltd. (NU) filing a Form 144 notifies a proposed sale of 4,000 common shares through Morgan Stanley Smith Barney on the NYSE with an aggregate market value of $55,020. The shares were acquired on 07/01/2024 by restricted stock vesting under a registered plan and were paid as compensation. The filing lists approximately 4,818,658,640 shares outstanding and indicates an approximate sale date of 08/15/2025. The filer signs a representation that they do not possess undisclosed material adverse information about the issuer.

Insights

Securities Analyst

TL;DR: Small planned sale of vested restricted shares; immaterial to company capitalization but relevant for insider activity tracking.

The filing reports a proposed sale of 4,000 common shares acquired via restricted stock vesting on 07/01/2024 and intended to be sold on or about 08/15/2025 through Morgan Stanley Smith Barney on the NYSE for an aggregate market value of $55,020. Relative to the reported 4,818,658,640 shares outstanding, the position is de minimis, so this transaction is unlikely to affect the company’s market capitalization or share float materially. The disclosure is nonetheless useful for monitoring insider liquidity and compliance with Rule 144 requirements.

Compliance/Risk Analyst

TL;DR: Filing is a routine Rule 144 notice confirming restricted stock vesting and intent to sell; no undisclosed material information declared.

The filer documents acquisition by restricted stock vesting and indicates payment was compensation. The notice includes the statutory representation that the seller is not aware of any undisclosed material adverse information. There are no reported securities sold in the past three months and no complex payment arrangements disclosed. From a compliance standpoint, the form appears to meet Rule 144 disclosure elements based on the information provided.

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	4000	55020.00	4818658640	08/15/2025	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	07/01/2024	Restricted stock vesting under a registered plan	Issuer			4000	07/01/2024	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

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 securities does Nu Holdings (NU) propose to sell in this Form 144?

The filer proposes to sell 4,000 common shares on the NYSE through Morgan Stanley Smith Barney with an aggregate market value of $55,020.

When were the shares acquired that are proposed for sale?

The shares were acquired on 07/01/2024 through restricted stock vesting under a registered plan and were paid as compensation.

What is the approximate date of the proposed sale?

The filing lists the approximate date of sale as 08/15/2025.

How many Nu Holdings shares are outstanding according to the filing?

The filing reports 4,818,658,640 shares outstanding.

Did the filer report any securities sold in the past three months?

No. The filing states Nothing to Report for securities sold during the past three months.

Does the filer claim possession of any undisclosed material information about Nu Holdings?

No. By signing the notice, the filer represents they do not know any material adverse information that has not been publicly disclosed.