TOP Financial COO files initial insider report

TOP Financial Group Ltd filed an initial insider ownership report for Tam Jennifer Hoi Ling, who serves as COO.

Accepted by SEC EDGAR 07/31/2026 - 03:08 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

TOP Financial Group Ltd filed an initial insider ownership report for Tam Jennifer Hoi Ling, who serves as COO. The filing lists no non-derivative or derivative holdings for this reporting person and shows no purchases, sales, exercises, gifts, or other transactions in the company’s securities.

Key Figures

Reporting officers: 1 Insider purchase transactions reported: 0 Insider sale transactions reported: 0 +2 more

5 metrics

Reporting officers 1 Number of officers identified as reporting persons in this Form 3

Insider purchase transactions reported 0 Buy transaction count for COO Tam Jennifer Hoi Ling in this filing

Insider sale transactions reported 0 Sell transaction count for COO Tam Jennifer Hoi Ling in this filing

Derivative transactions reported 0 Total derivative transaction count in the Form 3 data

Non-derivative holding entries 0 Holding entries shown in the summarized ownership data

FAQ

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

What does the TOP (TOP) Form 3 filing show about insider ownership?

The Form 3 identifies Tam Jennifer Hoi Ling, the COO of TOP Financial Group Ltd, as a reporting insider and shows no reported holdings or transactions in the company’s securities as of this initial statement of beneficial ownership.

Who is the reporting person in TOP (TOP)’s recent Form 3?

The reporting person is Tam Jennifer Hoi Ling, who serves as Chief Operating Officer (COO) of TOP Financial Group Ltd. The filing establishes her status as an insider subject to ongoing ownership and transaction reporting requirements under U.S. securities rules.

Does the TOP (TOP) Form 3 disclose any insider trades?

The Form 3 for TOP Financial Group Ltd shows no insider purchases, sales, exercises, gifts, or other transactions for COO Tam Jennifer Hoi Ling. All transaction-related summary counts, including buy and sell shares, are reported as zero in the filing data.

Are any derivative securities reported in the TOP (TOP) Form 3?

The filing reports no derivative securities for COO Tam Jennifer Hoi Ling. The derivative section has no entries, and the derivative transaction count and exercise share totals in the summarized data are all shown as zero for this initial ownership statement.

Is Tam Jennifer Hoi Ling a 10% owner according to the TOP (TOP) Form 3?

According to the Form 3 data, the field for ten percent owner is set to no for COO Tam Jennifer Hoi Ling. She is reported as an officer but not as a director or 10% beneficial owner of TOP Financial Group Ltd equity securities.

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

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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^*

Tam Jennifer Hoi Ling

(Last) (First) (Middle)

C/O TOP FINANCIAL GROUP LIMITED

101 CECIL ST #13-05 TONG ENG BLDG

(Street)

SINGAPORE HONG KONG 069533

(City) (State) (Zip)

SINGAPORE

(Country)

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

3. Issuer Name and Ticker or Trading Symbol
TOP Financial Group Ltd [ TOP ]

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)

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

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)

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 Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	/s/ Jennifer Hoi Ling Tam	07/31/2026
	** 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)