Form 144 UP Fintech Holding Ltd Filed by: Fang Lei
Form 144 Filer Information |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 | |
FORM 144 |
144: Filer Information
Filer CIK | 0001980327 |
Filer CCC | XXXXXXXX |
Is this a LIVE or TEST Filing? | LIVE TEST |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
144: Issuer Information
Name of Issuer | UP Fintech Holding Ltd |
SEC File Number | 001-38833 |
Address of Issuer | 18F,NO.16 TAIYANGGONG RD,CHAOYANG DIST. BEIJING CHINA 100020 |
Phone | 86-10-56216660 |
Name of Person for Whose Account the Securities are To Be Sold | Fang Lei |
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account
the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given
as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales
for the account of the person filing this notice.
| |
Relationship to Issuer | Director |
144: Securities Information
Title of the Class of Securities To Be Sold | Name and Address of the Broker | Number of Shares or Other Units To Be Sold | Aggregate Market Value | Number of Shares or Other Units Outstanding | Approximate Date of Sale | Name the Securities Exchange |
---|---|---|---|---|---|---|
American Depositary Shares (each representing 15 Class A Ordinary Shares) | Tiger Brokers (NZ) Limited Level 27, Queen Street, Auckland Central Auckland Q2 1010 | 900000 | 4014000.00 | 167138816 | 11/28/2023 | NASDAQ |
Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment
of all or any part of the purchase price or other consideration therefor:
144: Securities To Be Sold
Title of the Class | Date you Acquired | Nature of Acquisition Transaction | Name of Person from Whom Acquired | Is this a Gift? | Date Donor Acquired | Amount of Securities Acquired | Date of Payment | Nature of Payment * |
---|---|---|---|---|---|---|---|---|
American Depositary Shares( each representing 15 Class A Ordinary Shares) | 06/10/2019 | ESOP option exercise | UP Fintech Holding Limited | 1143333 | 01/02/2019 | Cashless exercise |
* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note
thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made
in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
144: Securities Sold During The Past 3 Months
Name and Address of Seller | Title of Securities Sold | Date of Sale | Amount of Securities Sold | Gross Proceeds |
---|---|---|---|---|
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Proince F4 338011 | American Depositary Shares (each representing 15 Class A Ordinary Shares) | 08/30/2023 | 10000 | 48001.00 |
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Province F4 338011 | Call options | 08/30/2023 | 1505 | 14856.00 |
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Province F4 338011 | Call options | 08/31/2023 | 748 | 10948.00 |
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Province F4 338011 | American Depositary Shares (each representing 15 Class A Ordinary Shares) | 09/01/2023 | 10000 | 50100.00 |
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Province F4 338011 | Call options | 09/01/2023 | 2247 | 33959.00 |
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Province F4 338011 | Call options | 09/05/2023 | 700 | 6700.00 |
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Province F4 338011 | Call options | 09/06/2023 | 1010 | 12310.00 |
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Province F4 338011 | Call options | 09/12/2023 | 142 | 1810.00 |
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Province F4 338011 | Call options | 09/14/2023 | 102 | 1732.00 |
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Province F4 338011 | Call options | 09/15/2023 | 346 | 4208.00 |
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Province F4 338011 | Call options | 09/22/2023 | 100 | 400.00 |
Fang Lei Xingang Park North Village Yushui District Xinyu City, Jiangxi Province F4 338011 | Call options | 09/29/2023 | 200 | 1000.00 |
144: Remarks and Signature
Remarks | 1. This Form 144 reflects the intention to sell no more than 900,000 American Depositary Shares of UP Fintech Holding Limited or write no more than 9,000 call options. |
Date of Notice | 11/28/2023 |
ATTENTION: | |
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date. | |
Signature | Shi Zhangwenqing, as a duly authorized representative of Tiger Brokers (NZ) Limited as attorney-in-fact for client Fang Lei. |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |
Serious News for Serious Traders! Try StreetInsider.com Premium Free!
You May Also Be Interested In
- CleverTap's 2024 Market Research Report Unveils that Brands Implementing Higher AI Adoption See 4x Boost in Conversions
- Marvel Biosciences Announces Private Placement
- TI-TRUST has been named one of the 2024 Best Places to Work in Illinois.
Create E-mail Alert Related Categories
SEC FilingsSign up for StreetInsider Free!
Receive full access to all new and archived articles, unlimited portfolio tracking, e-mail alerts, custom newswires and RSS feeds - and more!