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Liu Jian discloses UP Fintech (TIGR) ADS and 100,020 RSU holdings

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

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.

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Insider LIU JIAN
Role Director
Type Security Shares Price Value
holding American Depositary Shares -- -- --
holding Class A ordinary shares -- -- --
Holdings After Transaction: American Depositary Shares — 38,664 shares (Direct); Class A ordinary shares — 100,020 shares (Direct)
Footnotes (1)
  1. Each ADS represents 15 Class A Ordinary Shares of the Issuer. The securities represents 100,020 restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represents a contingent right to receive one Class A Ordinary Share of the Issuer. These RSUs settle exclusively in shares of the Issuer and do not have a cash settlement alternative. The RSUs are scheduled to vest in full on March 19, 2026, subject to the Reporting Person's continued service through such date.
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SEC Form 3
FORM 3UNITED 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*
LIU JIAN
(Last)(First)(Middle)
NO. 16 TAIYANGGONG MIDDLE ROAD
(Street)
BEIJINGCHINA100020
(City)(State)(Zip)
CHINA
(Country)		2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026		3. Issuer Name and Ticker or Trading Symbol
UP Fintech Holding Ltd [ TIGR ]
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)
XDirector10% Owner
Officer (give title below)Other (specify below)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
American Depositary Shares(1)38,664D
Class A ordinary shares(2)100,020D
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 ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Each ADS represents 15 Class A Ordinary Shares of the Issuer.
2. The securities represents 100,020 restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represents a contingent right to receive one Class A Ordinary Share of the Issuer. These RSUs settle exclusively in shares of the Issuer and do not have a cash settlement alternative. The RSUs are scheduled to vest in full on March 19, 2026, subject to the Reporting Person's continued service through such date.
/s/Jian Liu03/18/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What does UP Fintech (TIGR) director Liu Jian report on his Form 3?

Liu Jian reports his initial ownership in UP Fintech, including 38,664 American Depositary Shares and 100,020 restricted stock units for Class A ordinary shares, giving investors a clearer picture of his direct equity and incentive-based stake in the company.

How many American Depositary Shares does Liu Jian hold in UP Fintech (TIGR)?

Liu Jian directly holds 38,664 American Depositary Shares of UP Fintech. Each ADS represents 15 Class A ordinary shares, so this position reflects a substantial underlying economic interest tied to the company’s Class A equity structure.

What are the terms of Liu Jian’s 100,020 RSUs reported at UP Fintech (TIGR)?

The 100,020 restricted stock units give Liu Jian a contingent right to receive one Class A ordinary share per unit. These RSUs vest in full on March 19, 2026, conditioned on his continued service with UP Fintech through that vesting date.

Do Liu Jian’s UP Fintech (TIGR) RSUs settle in cash or shares?

Liu Jian’s 100,020 restricted stock units settle exclusively in UP Fintech Class A ordinary shares. The RSUs have no cash settlement alternative, directly linking this part of his compensation to the company’s equity performance over time.

What is the ADS to Class A share ratio for UP Fintech (TIGR) in Liu Jian’s filing?

Each UP Fintech American Depositary Share represents 15 Class A ordinary shares. This ratio, disclosed in Liu Jian’s ownership report, helps investors translate his ADS holdings into the equivalent number of underlying Class A ordinary shares.

When will Liu Jian’s UP Fintech (TIGR) RSUs vest according to the filing?

The 100,020 UP Fintech restricted stock units held by Liu Jian are scheduled to vest in full on March 19, 2026. Vesting depends on his continued service with the company through that specified vesting date, aligning incentives with long-term commitment.