Form 4 for NIO NIO Inc.
Accepted 2026-09-01 16:04:18 ET · period of report 2026-09-01 · accession 0001104659-26-104296 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2026-09-01 16:04 | 2026-09-01 | NIO | Qu Yu | CFO | M - OptEx | $0.00 | +245.0K | 560.1K | +78% | $0 |
| DM | 2026-09-01 16:04 | 2026-09-01 | NIO | Qu Yu | CFO | F - Tax | $4.23 | -122.5K | 437.6K | -22% | -$518.2K |
| DM | 2026-09-01 16:04 | 2026-09-01 | NIO | Qu Yu | CFO | M - OptEx | $0.00 | -245.0K | 600.0K | -29% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | American depositary shares | 2026-09-01 | M | A | 45,000 | $0.00 | 360,088 | D | — | — | (F1) Each American depositary share represents one Class A ordinary share. |
| 2 | Common | American depositary shares | 2026-09-01 | M | A | 200,000 | $0.00 | 560,088 | D | — | — | (F1) Each American depositary share represents one Class A ordinary share. |
| 3 | Common | American depositary shares | 2026-09-01 | F | D | 22,500 | $4.23 | 537,588 | D | — | — | (F1) Each American depositary share represents one Class A ordinary share. (F2) Represents 22,500 shares to be sold pursuant to a non-discretionary sell-to-cover arrangement for the purpose of satisfying income tax liabilities incurred upon vesting of the 45,000 restricted share units. (F3) The closing price of the Issuer's American depositary shares on the last trading day before the reported transaction. The Issuer expects to sell these shares on behalf of the Reporting Person in the open market, and the actual sales price may differ from the closing price reported herein. |
| 4 | Common | American depositary shares | 2026-09-01 | F | D | 100,000 | $4.23 | 437,588 | D | — | — | (F1) Each American depositary share represents one Class A ordinary share. (F4) Represents 100,000 shares to be sold pursuant to a non-discretionary sell-to-cover arrangement for the purpose of satisfying income tax liabilities incurred upon vesting of the 200,000 restricted share units. (F3) The closing price of the Issuer's American depositary shares on the last trading day before the reported transaction. The Issuer expects to sell these shares on behalf of the Reporting Person in the open market, and the actual sales price may differ from the closing price reported herein. |
| 5 | Derivative | Restricted share units | 2026-09-01 | M | D | 45,000 | $0.00 | 0 | D | — · — to — | 45,000 Class A ordinary share | (F5) The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting. (F6) The restricted share units vest in five annual installments beginning on September 1, 2022, with 10%, 10%, 20%, 30% and 30% vesting in the first, second, third, fourth and fifth annual installments, respectively, subject to the terms and conditions of the underlying award agreement. The restricted share units do not have expiration dates. The vesting reported herein was as of September 1, 2026. (F6) The restricted share units vest in five annual installments beginning on September 1, 2022, with 10%, 10%, 20%, 30% and 30% vesting in the first, second, third, fourth and fifth annual installments, respectively, subject to the terms and conditions of the underlying award agreement. The restricted share units do not have expiration dates. The vesting reported herein was as of September 1, 2026. |
| 6 | Derivative | Restricted share units | 2026-09-01 | M | D | 200,000 | $0.00 | 600,000 | D | — · — to — | 200,000 Class A ordinary share | (F5) The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting. (F7) The restricted share units vest in five equal annual installments beginning on September 1, 2025, with 20% vesting in each annual installment, subject to the terms and conditions of the underlying award agreement. The restricted share units do not have expiration dates. The vesting reported herein was as of September 1, 2026. (F7) The restricted share units vest in five equal annual installments beginning on September 1, 2025, with 20% vesting in each annual installment, subject to the terms and conditions of the underlying award agreement. The restricted share units do not have expiration dates. The vesting reported herein was as of September 1, 2026. |