SEC Form 4 · accession 0001104659-26-104296
NIO Inc. · NIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yu Qu
Officer — Chief Financial Officer
Period of report
Sep 1, 2026
Accepted (ET)
Sep 1, 2026 · 4:04 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001736541
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| American depositary sharesF1 | Sep 1, 2026 | M | 45,000 | $0.00 | A | 360,088 | D | |
| American depositary sharesF1 | Sep 1, 2026 | M | 200,000 | $0.00 | A | 560,088 | D | |
| American depositary sharesF1,F2,F3 | Sep 1, 2026 | F | 22,500 | $4.23 | D | 537,588 | D | |
| American depositary sharesF1,F4,F3 | Sep 1, 2026 | F | 100,000 | $4.23 | D | 437,588 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted share unitsF5,F6 | — | Sep 1, 2026 | M | 45,000 | D | — | — | Class A ordinary share | 45,000 | 0 | D |
| Restricted share unitsF5,F7 | — | Sep 1, 2026 | M | 200,000 | D | — | — | Class A ordinary share | 200,000 | 600,000 | D |
Explanation of responses
- F1Each American depositary share represents one Class A ordinary share.
- F2Represents 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.
- F3The 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.
- F4Represents 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.
- F5The restricted share units evidence the contingent right to receive Class A ordinary shares upon vesting.
- F6The 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.
- F7The 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.