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  4. [Form 3] Nu Holdings Ltd. Initial Statement of Beneficial Ownership

Nu Holdings (NU) CFO discloses 7.0M shares and 1.5M options

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

Nu Holdings Ltd. filed an initial insider report for Chief Financial Officer Guilherme Marques Lago, showing his equity stake in the company. He directly holds 7,000,375 Class A ordinary shares, giving him substantial exposure to the company’s performance.

The figure includes 4,879,699 Class A ordinary shares underlying unvested Restricted Share Units, each RSU representing a right to receive one share if service conditions are met. He also holds a fully vested employee stock option to buy 1,500,000 Class A Shares at an exercise price of 0.4283 per share, expiring on June 10, 2029.

Positive

  • None.

Negative

  • None.
Insider Lago Guilherme Marques
Role Chief Financial Officer
Type Security Shares Price Value
holding Employee Stock Option (right to buy) -- -- --
holding Class A ordinary shares ("Class A Shares") -- -- --
Holdings After Transaction: Employee Stock Option (right to buy) — 1,500,000 shares (Direct); Class A ordinary shares ("Class A Shares") — 7,000,375 shares (Direct)
Footnotes (1)
  1. Figure includes 4,879,699 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. The stock option to acquire Class A shares is fully vested and exercisable.
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SEC Form 3
FORM 3UNITED 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*
Lago Guilherme Marques
(Last)(First)(Middle)
RUA CAPOTE VALENTE, 39, PINHEIROS
(Street)
SAO PAULO05409001
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Financial Officer
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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 ("Class A Shares")7,000,375(1)D
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)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Employee Stock Option (right to buy) (2)06/10/2029Class A Shares1,500,000$0.4283D
Explanation of Responses:
1. Figure includes 4,879,699 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 stock option to acquire Class A shares is fully vested and exercisable.
Remarks:
Exhibit List - Exhibit 24.1 - Power of Attorney
/s/ Beatriz Outeiro, attorney-in-fact for Guilherme Marques do Lago03/18/2026
** Signature of Reporting PersonDate
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

FAQ

What does Nu Holdings (NU) CFO Guilherme Lago report on this Form 3?

Nu Holdings CFO Guilherme Lago reports his initial ownership position, including 7,000,375 Class A ordinary shares and stock-based awards. This filing establishes his equity stake and aligns his incentives with Nu Holdings’ long-term performance.

How many Nu Holdings (NU) shares does the CFO directly own?

The CFO directly owns 7,000,375 Class A ordinary shares of Nu Holdings. This total includes shares underlying unvested RSUs, reflecting both current ownership and stock-based compensation tied to continued service and future vesting.

What Restricted Share Units (RSUs) are disclosed for Nu Holdings (NU) CFO?

The filing states 4,879,699 Class A ordinary shares underlie unvested RSUs for the CFO. Each RSU is a contingent right to receive one share, subject to his continued service through the applicable vesting dates.

What stock options does the Nu Holdings (NU) CFO hold?

The CFO holds a fully vested employee stock option to buy 1,500,000 Class A Shares. The option has an exercise price of 0.4283 per share and expires on June 10, 2029, providing long-term equity exposure.

Does this Nu Holdings (NU) Form 3 show insider share purchases or sales?

This Form 3 does not show purchases or sales; it reports existing holdings. It lists the CFO’s direct share ownership, unvested RSUs, and vested stock options, establishing his starting equity position as an insider.