Nu Holdings director Leone reports share holdings

Nu Holdings Ltd. director Douglas M. Leone filed an initial ownership report showing his existing stake in the company.

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Form Type

Rhea-AI Filing Summary

Nu Holdings Ltd. director Douglas M. Leone filed an initial ownership report showing his existing stake in the company. He holds 173,575 Class A ordinary shares directly, including 11,498 shares underlying unvested RSUs tied to prior grants and continued service.

He also reports indirect ownership of 27,753,845 Class A Shares through a family trust and 1,740,390 Class A Shares through family limited partnerships. He disclaims beneficial ownership of these indirect holdings except to the extent of his pecuniary interest.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider LEONE DOUGLAS M

Role Director

Type	Security	Shares	Price	Value
holding	Class A ordinary shares par value US$0.000006666666667	--	--	--
holding	Class A Shares	--	--	--
holding	Class A Shares	--	--	--

Holdings After Transaction: Class A ordinary shares par value US$0.000006666666667 — 173,575 shares (Direct); Class A Shares — 27,753,845 shares (Indirect, By Family Trust); Class A Shares — 1,740,390 shares (Indirect, By Family Limited Partnerships)

Footnotes (2)

F1. Figure includes 11,498 Class A Ordinary Shares underlying unvested Restricted Share Units (RSUs) associated with prior grant(s). Each RSU represents a contingent right to receive one Class A Ordinary share. These RSUs are subject to the Reporting Person's continued service through the vesting date.
F2. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does Douglas M. Leone’s Form 3 filing show for Nu Holdings (NU)?

The Form 3 shows Douglas M. Leone’s existing ownership in Nu Holdings. He reports 173,575 Class A ordinary shares held directly, plus large indirect stakes through a family trust and family limited partnerships, establishing his baseline position as a director of the company.

How many Nu Holdings (NU) shares does Douglas M. Leone hold directly?

Douglas M. Leone holds 173,575 Class A ordinary shares directly. This figure includes 11,498 shares underlying unvested restricted share units (RSUs), which will deliver one Class A ordinary share each if vesting conditions tied to his continued service are met.

What indirect Nu Holdings (NU) interests are reported in Douglas M. Leone’s Form 3?

He reports 27,753,845 Class A Shares held indirectly through a family trust and 1,740,390 Class A Shares held indirectly through family limited partnerships. These positions reflect family-related ownership structures rather than personal trading activity in the company’s stock.

What do the RSU footnotes mean in the Nu Holdings (NU) Form 3 for Douglas M. Leone?

The footnote explains that 11,498 of his Class A ordinary shares are underlying unvested RSUs from prior grants. Each RSU represents a contingent right to one share, subject to his continued service with Nu Holdings through the applicable vesting dates.

Does Douglas M. Leone fully claim beneficial ownership of all Nu Holdings (NU) shares reported?

No. He disclaims beneficial ownership of certain reported securities except to the extent of his pecuniary interest. This typically applies to shares held through related entities, such as the family trust and family limited partnerships identified in the ownership disclosures.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/18/2026 - 01:34 PM

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

LEONE DOUGLAS M

(Last)

(First)

(Middle)

C/O NU HOLDINGS LTD

RUA CAPOTE VALENTE, 39

(Street)

SAO PAULO

05409-000

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
Nu Holdings Ltd. [ NU ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A ordinary shares par value US$0.000006666666667	173,575⁽¹⁾	D
Class A Shares	27,753,845	I	By Family Trust⁽²⁾
Class A Shares	1,740,390	I	By Family Limited Partnerships⁽²⁾

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)

Explanation of Responses:

1. Figure includes 11,498 Class A Ordinary Shares underlying unvested Restricted Share Units (RSUs) associated with prior grant(s). Each RSU represents a contingent right to receive one Class A Ordinary share. These RSUs are subject to the Reporting Person's continued service through the vesting date.

2. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Remarks:

Exhibit List - Exhibit 24.1 - Power of Attorney

	/s/ Beatriz Outeiro, attorney-in-fact for Douglas Mauro Leone	03/18/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

Source: View Original Filing on SEC EDGAR