Nu Holdings (NYSE: NU) holder to sell 300,000 shares

Rhea-AI Filing Summary

Nu Holdings Ltd. reported a planned sale of 300,000 shares of common stock through Morgan Stanley Smith Barney LLC’s Executive Financial Services unit, with an indicated value of $4,476,300.00, to be sold on or after August 17, 2026 on the NYSE. The shares to be sold stem from earlier acquisitions from the issuer or an affiliate and from equity compensation, including 14,356 shares and 46,095 shares acquired on June 24, 2016 and 239,549 shares from restricted stock vesting on July 29, 2025 under a registered plan.

Key Figures

Planned shares to be sold: 300,000 shares Indicated value of planned sale: $4,476,300.00 Acquisition lot from 06/24/2016: 14,356 shares +3 more

6 metrics

Planned shares to be sold 300,000 shares Common stock proposed to be sold on or after August 17, 2026

Indicated value of planned sale $4,476,300.00 Aggregate value associated with 300,000 common shares in the Form 144

Acquisition lot from 06/24/2016 14,356 shares Common stock acquired via Private Acquisition from Issuer/Affiliate

Second acquisition lot from 06/24/2016 46,095 shares Common stock acquired via Private Acquisition from Issuer/Affiliate

Restricted stock vesting lot 239,549 shares Common stock from Restricted Stock Vesting Under a Registered Plan on July 29, 2025

Planned sale date 08/17/2026 Date from which the 300,000 common shares may be sold on the NYSE

Key Terms

Form 144, Private Acquisition from Issuer/Affiliate, Restricted Stock Vesting Under a Registered Plan, Executive Financial Services

4 terms

Form 144 regulatory

"Nu Holdings Ltd. reported a planned sale of shares via Form 144"

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.

Private Acquisition from Issuer/Affiliate financial

"Common | 06/24/2016 | Private Acquisition from Issuer/Affiliate | Issuer"

Restricted Stock Vesting Under a Registered Plan financial

"Common | 07/29/2025 | Restricted Stock Vesting Under a Registered Plan"

Executive Financial Services financial

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

FAQ

What does NU’s Form 144 filing disclose about upcoming stock sales?

The filing discloses a planned sale of 300,000 common shares of Nu Holdings Ltd., with an indicated value of $4,476,300.00, to be sold on or after August 17, 2026 on the NYSE through Morgan Stanley Smith Barney LLC.

How many NU shares are planned to be sold and at what value?

The reporting holder plans to sell 300,000 common shares of NU, with an aggregate indicated value of $4,476,300.00. This value reflects the amount associated with the proposed sale disclosed in the Form 144 notice for NYSE transactions.

When can the NU shares disclosed in this Form 144 start being sold?

Sales may begin on or after August 17, 2026. This date is listed as the planned sale date for the 300,000 shares of NU common stock that may be sold on the NYSE through Morgan Stanley Smith Barney LLC.

What are the sources of the NU shares covered by this Form 144?

The shares come from private acquisitions from the issuer or an affiliate and from equity compensation, including 14,356 and 46,095 shares acquired on June 24, 2016, and 239,549 shares from restricted stock vesting on July 29, 2025 under a registered plan.

Which broker is handling the planned NU stock sale in this Form 144?

The sale is to be handled by Morgan Stanley Smith Barney LLC Executive Financial Services. The notice lists this broker for the proposed sale of 300,000 NU common shares with an indicated value of $4,476,300.00 on the NYSE.

Does the Form 144 for NU indicate how the shares were originally obtained?

Yes. It shows shares obtained via Private Acquisition from Issuer/Affiliate on June 24, 2016 and via Restricted Stock Vesting Under a Registered Plan on July 29, 2025, totaling specific acquisition lots now eligible for sale.

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Available on EDGAR 08/17/2026 - 04:14 PM Accepted by SEC EDGAR 08/17/2026 - 04:14 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	300000	4476300.00	3808088000	08/17/2026	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	06/24/2016	Private Acquisition from Issuer/Affiliate	Issuer			14356	06/24/2016	Compensation
Common	06/24/2016	Private Acquisition from Issuer/Affiliate	Issuer			46095	06/24/2016	Compensation
Common	07/29/2025	Restricted Stock Vesting Under a Registered Plan	Issuer			239549	07/29/2025	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)