TOP Financial director reports 40,213 share holding

Cai Mei, a director of TOP Financial Group Ltd, is reported on an initial SEC Form 3 as directly owning 40,213 Class A Ordinary Shares of the company as of March 18, 2026.

Accepted by SEC EDGAR 07/31/2026 - 03:09 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Cai Mei, a director of TOP Financial Group Ltd, is reported on an initial SEC Form 3 as directly owning 40,213 Class A Ordinary Shares of the company as of March 18, 2026.

The statement records this as a holding entry only and shows no recent insider purchase or sale transactions.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Cai Mei

Role Director

Type	Security	Shares	Price	Value
Holding	Class A Ordinary Shares	--	--	--

Holdings: Class A Ordinary Shares — 40,213 shares (Direct)

Key Figures

Shares beneficially owned: 40,213 Class A Ordinary Shares

1 metrics

Shares beneficially owned 40,213 Class A Ordinary Shares Directly owned by director Cai Mei as reported on Form 3 dated 2026-03-18

Key Terms

Class A Ordinary Shares, Rule 10b5-1, Direct/Indirect ownership

3 terms

Class A Ordinary Shares financial

"security_title: "Class A Ordinary Shares" in the reported holding entry"

Class A ordinary shares are a type of ownership stake in a company that typically grants voting rights to shareholders, allowing them to have a say in important company decisions. They often come with priority in receiving dividends or profits, making them attractive to investors seeking influence and potential income. These shares help distinguish different levels of ownership and rights within a company's stock structure.

Rule 10b5-1 regulatory

"Footnotes may reference Rule 10b5-1 trading plans or pre-arranged trading arrangements"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

Direct/Indirect ownership regulatory

"direct_or_indirect uses D/I for Direct/Indirect ownership type"

FAQ

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

What does the Form 3 for TOP Financial Group Ltd (TOP) report about Cai Mei?

The Form 3 reports that director Cai Mei directly owns 40,213 Class A Ordinary Shares of TOP Financial Group Ltd as of March 18, 2026. It presents this as an initial holding, with no accompanying insider purchase or sale transactions.

How many TOP (TOP) shares does director Cai Mei beneficially own according to the Form 3?

According to the Form 3, director Cai Mei beneficially owns 40,213 Class A Ordinary Shares of TOP Financial Group Ltd. These shares are reported as directly held, with the position shown after any prior activity and no separate transaction amount listed.

Is Cai Mei reported as a 10% owner of TOP Financial Group Ltd (TOP) on the Form 3?

No. The Form 3 identifies Cai Mei as a director of TOP Financial Group Ltd but does not classify her as a ten percent owner. The role is disclosed without indicating ownership at or above the 10% threshold.

Does the TOP (TOP) Form 3 show any recent insider buying or selling by Cai Mei?

No. The Form 3 includes a single holding entry for 40,213 Class A Ordinary Shares and shows no buy or sell transactions. Transaction fields such as shares traded and prices are not populated, indicating only existing ownership is being reported.

Is Cai Mei’s ownership in TOP (TOP) shares direct or indirect?

The Form 3 reports direct ownership by Cai Mei of 40,213 Class A Ordinary Shares, coded as “D” for direct. No indirect ownership through entities or accounts is disclosed in the reported holding entry.

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^*

Cai Mei

(Last) (First) (Middle)

C/O TOP FINANCIAL GROUP LIMITED

101 CECIL ST #13-05 TONG ENG BLDG

(Street)

SINGAPORE 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)

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	40,213	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 Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

	/s/ Mei Cai	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)