Welcome to our dedicated page for Nu Hldgs SEC filings (Ticker: NU), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Nu Holdings Ltd. filings document a foreign private issuer that operates Nubank as a digital financial services platform. Its Form 20-F annual reports and Form 6-K current reports cover IFRS consolidated financial statements, operating and financial review, risk factors, earnings releases, investor presentations and audited results for the company and its subsidiaries.
The filing record also includes supplementary managerial P&L reconciliations, independent assurance materials and current reports on regulatory licensing and charter developments. These disclosures address customer growth, credit and payments activity, capital and liquidity requirements, governance and the regulatory framework for Nu's operations in Brazil, Mexico, Colombia and other expansion markets.
Nu Holdings Ltd. Chief Technology Officer Eric Young filed an initial ownership report for Class A ordinary shares. The filing lists 407,860 shares held indirectly through a family trust, where he disclaims beneficial ownership except for any pecuniary interest, and 4,948,232 Class A shares underlying unvested restricted share units that vest only with continued service.
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.
Nu Holdings Ltd. filed an initial ownership report for Chief Risk Officer Henrique Fragelli. He reports direct ownership of 2,315,190 Class A ordinary shares, a figure that includes 1,036,545 Class A shares underlying unvested restricted share units that vest subject to continued service.
He also holds employee stock options to acquire 1,767,000 Class A shares at an exercise price of $0.2919 per share expiring on July 2, 2028, and options to acquire 594,450 Class A shares at $0.4283 per share expiring on July 1, 2029. These options are described as fully vested and exercisable.
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.
Nu Holdings Ltd. director, Chairman and CEO, and more-than-10% owner David Velez Osorno filed an initial ownership report detailing his shareholdings. The filing is a snapshot of existing positions rather than new buy or sell activity.
He indirectly holds Class B ordinary shares that are convertible into Class A shares on a 1-for-1 basis, including 901,624,498 Class B shares through Rua California Ltd. and 1,500,000 Class B shares held by his spouse. He also directly owns 6,250,761 Class A ordinary shares, which include 3,861,558 Class A shares underlying unvested restricted share units that vest based on his continued service. Additional indirect holdings include 698,914 Class A shares held through Rua California Ltd. The filing notes that he disclaims beneficial ownership of certain securities except to the extent of his pecuniary interest.
Nu Holdings Ltd. director Jacqueline D. Reses filed an initial ownership report showing beneficial ownership of 18,658 Class A ordinary shares. This figure includes 12,320 shares underlying unvested restricted share units, which will vest over time if her service with the company continues.
Nu Holdings Ltd. director Anita M. Sands filed an initial ownership report showing she holds 183,150 Class A ordinary shares as of March 18, 2026. This figure includes 13,962 Class A ordinary shares underlying unvested restricted share units that will vest only if her service continues through the vesting dates.
Nu Holdings Ltd. director Pham Thuan filed an initial ownership report showing holdings of 110,171 Class A ordinary shares. This figure includes 10,677 shares underlying unvested restricted share units, which each convert into one Class A share if the director continues service through the vesting dates.
Nu Holdings Ltd. director Marcus David filed an initial ownership report showing 629,749 Class A ordinary shares held directly as of March 18, 2026. This figure includes 11,498 Class A shares underlying unvested RSUs, which will vest only if his service with the company continues.
Nu Holdings Ltd. executive Cristina Helena Zingaretti Junqueira, US CEO & Chief Growth Officer, filed an initial Form 3 detailing her ownership in the company. The filing lists direct holdings of 2,623,395 Class A ordinary shares, including 1,285,395 unvested RSUs, and multiple indirect positions in Class A and Class B shares held through family trusts and estate planning vehicles. The Class B ordinary shares are convertible into Class A Shares on a 1-for-1 basis and have no expiration date.