TOP Financial director reports 40,213-share stake

TOP Financial Group Ltd director Anthony S. Chan filed an initial ownership report showing a direct holding of 40,213 Class A Ordinary Shares on March 18, 2026.

Accepted by SEC EDGAR 07/31/2026 - 03:06 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

TOP Financial Group Ltd director Anthony S. Chan filed an initial ownership report showing a direct holding of 40,213 Class A Ordinary Shares on March 18, 2026. The filing lists this non-derivative equity position only and does not report any purchases, sales, or derivative securities.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Chan Anthony S.

Role Director

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

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

Key Figures

Class A Ordinary Shares held: 40,213 shares Ownership report date: 2026-03-18 Non-derivative holding entries: 1

3 metrics

Class A Ordinary Shares held 40,213 shares Direct non-derivative holdings reported for director Anthony S. Chan

Ownership report date 2026-03-18 Date associated with the reported Class A Ordinary Share holding

Non-derivative holding entries 1 Number of non-derivative positions reported on this Form 3

Key Terms

Class A Ordinary Shares, Form 3, direct ownership

3 terms

Class A Ordinary Shares financial

"security_title: "Class A Ordinary Shares" for the reported holding"

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.

Form 3 regulatory

"Initial insider ownership reported to the SEC on Form 3"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

direct ownership financial

"ownership_type field indicates "direct" ownership of the shares"

FAQ

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

What does TOP (TOP Financial Group Ltd) disclose in this Form 3?

TOP reports that director Anthony S. Chan holds 40,213 Class A Ordinary Shares directly. This Form 3 serves as his initial ownership report and does not include any share purchases, sales, or derivative security positions.

How many TOP (TOP Financial Group Ltd) shares does Anthony S. Chan hold?

Anthony S. Chan is reported to hold 40,213 Class A Ordinary Shares of TOP directly. This position is disclosed as a non-derivative holding, providing investors with visibility into his existing equity stake in the company.

What type of security is reported for TOP (ticker TOP) on this Form 3?

The Form 3 lists Class A Ordinary Shares of TOP Financial Group Ltd. These are reported as non-derivative equity securities held directly by director Anthony S. Chan, with no options or other derivative instruments disclosed.

Is the TOP (TOP Financial Group Ltd) Form 3 a record of trades or just holdings?

The Form 3 reports holdings only, specifically 40,213 Class A Ordinary Shares held directly by Anthony S. Chan. It does not show any recent purchases or sales; instead, it establishes his current ownership position as a director.

When is Anthony S. Chan’s TOP (TOP Financial Group Ltd) ownership dated?

The reported holding of 40,213 Class A Ordinary Shares is dated March 18, 2026. That date is associated with the non-derivative ownership entry, indicating when this position is recorded in the SEC disclosure.

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^*

Chan Anthony S.

(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/ Anthony Saikit Chan	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)