Welcome to our dedicated page for Up Fintech Hldg SEC filings (Ticker: TIGR), 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.
UP Fintech Holding Limited's SEC filings document foreign private issuer reports for its online brokerage business and American depositary shares. Recent Form 6-K current reports furnish press releases as exhibits, covering unaudited quarterly and full-year financial results, revenue categories, profitability measures, funded-account activity, trading volume, client assets and other operating metrics.
The filings identify the company as a Form 20-F filer and place earnings releases into the formal Exchange Act disclosure record for TIGR. These reports focus on operating performance, brokerage activity and foreign-issuer reporting events.
Avenir Tech Limited and related reporting persons amended their Schedule 13G to report beneficial ownership of 19,487,703 American Depositary Shares (ADSs), representing 10.9% of the class. The ADSs are each 15 Class A ordinary shares. The percentage is calculated using March 31, 2026 outstanding share data of 2,680,509,912 ordinary shares reported in the issuer's Form 6-K.
The filing names Avenir View Limited and Avenir Investment Holdings Limited as upstream owners and states that LI Lin ultimately owns 100% of Avenir Investment. The filing lists sole voting and dispositive power over the 19,487,703 ADSs and is signed by LI Lin as a reporting person.
UP Fintech Holding Limited reported strong top-line growth but a sharp swing to loss in the first quarter of 2026. Total revenue rose to US$154.9 million, up 26.3% year over year, while total net revenues reached US$136.7 million, up 27.1%.
The company recorded a net loss attributable to ordinary shareholders of US$26.9 million, compared with net income of US$30.4 million a year earlier, largely reflecting administrative penalties and confiscation totaling about RMB411 million (roughly US$59.7 million) imposed on certain subsidiaries by the CSRC Beijing Bureau for unlicensed cross-border securities and related activities.
Client metrics stayed robust: total account balance grew 28.4% year over year to US$58.9 billion, margin financing and securities lending balances increased to US$6.2 billion, and funded accounts rose 11.3% to 1.28 million. The board also approved a share repurchase program of up to US$50 million over 12 months from June 1, 2026.
UP Fintech Holding Limited reported strong top-line growth but a sharp swing to loss in the first quarter of 2026. Total revenue rose to US$154.9 million, up 26.3% year over year, while total net revenues reached US$136.7 million, up 27.1%.
The company recorded a net loss attributable to ordinary shareholders of US$26.9 million, compared with net income of US$30.4 million a year earlier, largely reflecting administrative penalties and confiscation totaling about RMB411 million (roughly US$59.7 million) imposed on certain subsidiaries by the CSRC Beijing Bureau for unlicensed cross-border securities and related activities.
Client metrics stayed robust: total account balance grew 28.4% year over year to US$58.9 billion, margin financing and securities lending balances increased to US$6.2 billion, and funded accounts rose 11.3% to 1.28 million. The board also approved a share repurchase program of up to US$50 million over 12 months from June 1, 2026.
UP Fintech Holding Limited reports that the CSRC Beijing Bureau has imposed administrative penalties on certain subsidiaries following an investigation into their securities, fund and futures activities in mainland China. The regulator found these entities conducted unlicensed cross-border securities business and illegal activities related to fund and futures business.
The CSRC Beijing Bureau ordered administrative penalties totaling approximately RMB308.1 million and confiscation of illegal income of about RMB103.1 million. The Company’s CEO and controlling person, Mr. Tianhua Wu, received a warning and a RMB1.25 million penalty. As of the end of 2025, retail client assets in mainland China represented about 10% of total client assets. The Company states it accepts the penalties, is fully cooperating with regulators, and will implement required rectification measures while remaining committed to legal compliance.
UP Fintech Holding Limited, a Cayman Islands holding company listed on Nasdaq as TIGR, filed its annual report on Form 20-F outlining its global online brokerage and fintech platform and detailed risk disclosures.
The company operates mainly through subsidiaries in Singapore, New Zealand, the United States and Hong Kong, plus China-based variable interest entities (VIEs) that generated about 0.6% of 2025 revenue. The report highlights structural risks of relying on VIE contracts, evolving PRC regulations, data and cybersecurity rules, and potential constraints on cross‑border cash movements.
UP Fintech also discusses prior HFCAA-related designation as a Commission-Identified Issuer, historical PCAOB inspection limits on its auditor, and the possibility that renewed inspection barriers could lead to trading prohibitions on its ADSs, affecting liquidity and access to U.S. capital markets.
UP Fintech Holding Ltd director Yang Conor Chia-hung filed an initial ownership report showing equity interests in the company. The filing lists 19,999 American Depositary Shares held directly. It also reports 100,005 restricted stock units tied to Class A ordinary shares, scheduled to vest in full on January 23, 2027, contingent on continued service.
UP Fintech Holding Ltd director LIU JIAN received a grant of 399,990 Restricted Stock Units (RSUs) on March 19, 2026. Each RSU converts into one Class A Ordinary Share, with no cash settlement option. The RSUs vest in four annual tranches from March 19, 2027 through March 19, 2030.
After this grant, LIU JIAN beneficially owns 500,010 Class A Ordinary Shares, including 399,990 shares underlying the new RSUs and 100,020 shares from RSUs that vested on March 19, 2026. This is a compensation-related award rather than an open-market share purchase or sale.
UP Fintech Holding Ltd director LIU JIAN received a grant of 399,990 Restricted Stock Units (RSUs) on March 19, 2026. Each RSU converts into one Class A Ordinary Share, with no cash settlement option. The RSUs vest in four annual tranches from March 19, 2027 through March 19, 2030.
After this grant, LIU JIAN beneficially owns 500,010 Class A Ordinary Shares, including 399,990 shares underlying the new RSUs and 100,020 shares from RSUs that vested on March 19, 2026. This is a compensation-related award rather than an open-market share purchase or sale.
UP Fintech Holding Limited reported strong growth for the fourth quarter and full year 2025. Full-year total revenues reached US$612.1 million, up 56.3% from 2024, while net income attributable to ordinary shareholders rose to US$170.9 million, an increase of 181.4%. Non-GAAP net income was US$186.5 million, up 164.7%.
In the fourth quarter, total revenues were US$175.6 million, up 41.5% year-over-year, and net income attributable to ordinary shareholders was US$45.2 million, up 61.3%. Total account balance climbed 45.7% year-over-year to US$60.8 billion, with customers with deposits increasing 14.8% to 1,253.9 thousand. Cash, cash equivalents, term and long-term deposits reached US$793.1 million as of December 31, 2025, compared to US$396.0 million a year earlier, highlighting stronger liquidity alongside rapid business expansion.
UP Fintech Holding Limited reported strong growth for the fourth quarter and full year 2025. Full-year total revenues reached US$612.1 million, up 56.3% from 2024, while net income attributable to ordinary shareholders rose to US$170.9 million, an increase of 181.4%. Non-GAAP net income was US$186.5 million, up 164.7%.
In the fourth quarter, total revenues were US$175.6 million, up 41.5% year-over-year, and net income attributable to ordinary shareholders was US$45.2 million, up 61.3%. Total account balance climbed 45.7% year-over-year to US$60.8 billion, with customers with deposits increasing 14.8% to 1,253.9 thousand. Cash, cash equivalents, term and long-term deposits reached US$793.1 million as of December 31, 2025, compared to US$396.0 million a year earlier, highlighting stronger liquidity alongside rapid business expansion.
UP Fintech Holding Ltd director Liu Jian has filed an initial ownership report showing his equity position in the company. He holds 38,664 American Depositary Shares and 100,020 Class A ordinary share restricted stock units.
Each ADS represents 15 Class A ordinary shares. The 100,020 restricted stock units give him the right to receive an equal number of Class A ordinary shares, scheduled to vest in full on March 19, 2026, as long as he continues in service through that date.
UP Fintech Holding Ltd key personnel Dong Ming filed an initial ownership report showing existing equity interests. He holds employee stock options to acquire 112,500 Class A Ordinary Shares at an exercise price of $0.20 per share, expiring on December 31, 2028. The filing also reports direct holdings of 74,989 American Depositary Shares (ADSs) and indirect holdings, through Juvenamster Capital Holding Limited, of 1,397,666 ADSs and 9,950,000 Class A Ordinary Shares. Each ADS represents fifteen Class A Ordinary Shares.
UP Fintech Holding Ltd director and CFO John Fei Zeng filed an initial ownership report showing holdings of American Depositary Shares. He reports 266,667 ADS held directly and 266,666 ADS held indirectly through his spouse. Each ADS represents fifteen Class A ordinary shares of the company.