Amendment: SEC Form SC 13D/A filed by UP Fintech Holding Ltd
CUSIP Number 91531W106
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1.
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Names of Reporting Person
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IB Global Investments LLC
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2.
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Check the Appropriate Box if a
Member of a Group (See Instructions)
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(a) [ ]
(b) [ ]
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
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OO
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5.
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Check if Disclosure of Legal
Proceedings is Required Pursuant to Items 2(d) or 2(e)
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[ ]
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6.
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Citizenship or Place of Organization
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Delaware, United States of America
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Number of
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7.
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Sole Voting Power
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Shares
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75,380,162
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Beneficially
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8.
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Shared Voting Power
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Owned by
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Not applicable
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Each
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9.
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Sole Dispositive Power
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Reporting
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75,380,162
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Person
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10.
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Shared Dispositive Power
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With |
Not applicable
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11.
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Aggregate Amount Beneficially Owned by Each Reporting Person
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75,380,162
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12.
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Check if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
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[ ]
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13.
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Percent of Class Represented by Amount in Row (11)
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3.1%
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14.
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Type of Reporting Person (See Instructions)
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OO
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CUSIP Number 91531W106
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1.
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Names of Reporting Person
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IBG LLC
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2.
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Check the Appropriate Box if a
Member of a Group (See Instructions)
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(a) [ ]
(b) [ ]
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
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OO
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5.
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Check if Disclosure of Legal
Proceedings is Required Pursuant to Items 2(d) or 2(e)
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[ ]
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6.
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Citizenship or Place of Organization
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Connecticut, United States of America
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Number of
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7.
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Sole Voting Power
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Shares
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75,380,162
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Beneficially
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8.
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Shared Voting Power
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Owned by
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Not applicable
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||
Each
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9.
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Sole Dispositive Power
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|
Reporting
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75,380,162
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Person
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10.
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Shared Dispositive Power
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With |
Not applicable
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||
11.
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Aggregate Amount Beneficially Owned by Each Reporting Person
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||
75,380,162
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|||
12.
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Check if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
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[ ]
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13.
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Percent of Class Represented by Amount in Row (11)
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3.1%
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14.
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Type of Reporting Person (See Instructions)
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OO
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CUSIP Number 91531W106
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1.
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Names of Reporting Person
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Interactive Brokers Group, Inc.
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2.
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Check the Appropriate Box if
a Member of a Group (See Instructions)
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(a) [ ]
(b) [ ]
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
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OO
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5.
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Check if Disclosure of Legal
Proceedings is Required Pursuant to Items 2(d) or 2(e)
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[ ]
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6.
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Citizenship or Place of Organization
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||
Delaware, United States of America
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Number of
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7.
|
Sole Voting Power
|
|
Shares
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75,380,162
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||
Beneficially
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8.
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Shared Voting Power
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|
Owned by
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Not applicable
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||
Each
|
9.
|
Sole Dispositive Power
|
|
Reporting |
75,380,162
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||
Person
|
10.
|
Shared Dispositive Power
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|
With |
Not applicable
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||
11.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
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||
75,380,162
|
|||
12.
|
Check if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
|
[ ]
|
|
13.
|
Percent of Class Represented by Amount in Row (11)
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||
3.1%
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14.
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Type of Reporting Person (See Instructions)
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CO
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CUSIP Number 91531W106
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1.
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Names of Reporting Person
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IBG Holdings LLC
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2.
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Check the Appropriate Box if
a Member of a Group (See Instructions)
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(a) [ ]
(b) [ ]
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3.
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SEC Use Only
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||
4.
|
Source of Funds (See Instructions)
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||
OO
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|||
5.
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Check if Disclosure of Legal
Proceedings is Required Pursuant to Items 2(d) or 2(e)
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[ ]
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6.
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Citizenship or Place of Organization
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||
Delaware, United States of America
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Number of
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7.
|
Sole Voting Power
|
|
Shares
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75,380,162
|
||
Beneficially
|
8.
|
Shared Voting Power
|
|
Owned by
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Not applicable
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||
Each |
9.
|
Sole Dispositive Power
|
|
Reporting
|
75,380,162
|
||
Person
|
10.
|
Shared Dispositive Power
|
|
With |
Not applicable
|
||
11.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
||
75,380,162
|
|||
12.
|
Check if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
|
[ ]
|
|
13.
|
Percent of Class Represented by Amount in Row (11)
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||
3.1%
|
|||
14.
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Type of Reporting Person (See Instructions)
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OO
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CUSIP Number 91531W106
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1.
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Names of Reporting Person
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IBKR Member Holdings LLC
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2.
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Check the Appropriate Box
if a Member of a Group (See Instructions)
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(a) [ ]
(b) [ ]
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3.
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SEC Use Only
|
||
4.
|
Source of Funds (See Instructions)
|
||
OO
|
|||
5.
|
Check if Disclosure of
Legal Proceedings is Required Pursuant to Items 2(d) or 2(e)
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[ ]
|
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6.
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Citizenship or Place of Organization
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||
Delaware, United States of America
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|||
Number of
|
7.
|
Sole Voting Power
|
|
Shares
|
75,380,162
|
||
Beneficially
|
8.
|
Shared Voting Power
|
|
Owned by
|
Not applicable
|
||
Each
|
9.
|
Sole Dispositive Power
|
|
Reporting
|
75,380,162
|
||
Person
|
10.
|
Shared Dispositive Power
|
|
With |
Not applicable
|
||
11.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
||
75,380,162
|
|||
12.
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
|
[ ]
|
|
13.
|
Percent of Class Represented by Amount in Row (11)
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||
3.1%
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|||
14.
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Type of Reporting Person (See Instructions)
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||
OO
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CUSIP Number 91531W106
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1.
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Names of Reporting Person
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Thomas Peterffy 2018 Revocable Trust |
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2.
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Check the Appropriate Box
if a Member of a Group (See Instructions)
|
(a) [ ]
(b) [ ]
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|
3.
|
SEC Use Only
|
||
4.
|
Source of Funds (See Instructions)
|
||
OO
|
|||
5.
|
Check if Disclosure of
Legal Proceedings is Required Pursuant to Items 2(d) or 2(e)
|
[ ]
|
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6.
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Citizenship or Place of Organization
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||
Florida, United States of America
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Number of
|
7.
|
Sole Voting Power
|
|
Shares
|
75,380,162
|
||
Beneficially
|
8.
|
Shared Voting Power
|
|
Owned by
|
Not applicable
|
||
Each
|
9.
|
Sole Dispositive Power
|
|
Reporting
|
75,380,162
|
||
Person
|
10.
|
Shared Dispositive Power
|
|
With |
Not applicable
|
||
11.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
||
75,380,162
|
|||
12.
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
|
[ ]
|
|
13.
|
Percent of Class Represented by Amount in Row (11)
|
||
3.1%
|
|||
14.
|
Type of Reporting Person (See Instructions)
|
||
OO
|
CUSIP Number 91531W106
|
|||
1.
|
Names of Reporting Person
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||
Thomas Peterffy
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2.
|
Check the Appropriate Box
if a Member of a Group (See Instructions)
|
(a) [ ]
(b) [ ]
|
|
3.
|
SEC Use Only
|
||
4.
|
Source of Funds (See Instructions)
|
||
OO
|
|||
5.
|
Check if Disclosure of
Legal Proceedings is Required Pursuant to Items 2(d) or 2(e)
|
[ ]
|
|
6.
|
Citizenship or Place of Organization
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||
United States of America
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|||
Number of
|
7.
|
Sole Voting Power
|
|
Shares
|
75,380,162
|
||
Beneficially
|
8.
|
Shared Voting Power
|
|
Owned by
|
Not applicable
|
||
Each
|
9.
|
Sole Dispositive Power
|
|
Reporting
|
75,380,162
|
||
Person
|
10.
|
Shared Dispositive Power
|
|
With |
Not applicable
|
||
11.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
||
75,380,162
|
|||
12.
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
|
[ ]
|
|
13.
|
Percent of Class Represented by Amount in Row (11)
|
||
3.1%
|
|||
14.
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Type of Reporting Person (See Instructions)
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IN
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•
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IBGI is a Delaware limited liability company and its principal business is to make investments.
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•
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IBGI is wholly owned, directly and indirectly, by IBG LLC, a Connecticut limited liability company. IBG LLC acts as a holding
company and service provider to members of the Interactive Brokers Group of companies.
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Interactive Brokers Group, Inc., a Delaware corporation listed on the Nasdaq Global Select Market under the ticker symbol (IBKR),
acts as the managing member and holds all of the voting interests in IBG LLC. Interactive Brokers Group, Inc. acts as a holding company for its interests in IBG LLC.
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IBG Holdings LLC, a Delaware limited lability company, owns 100 Class B common shares of Interactive Brokers Group, Inc. The Class
B shares entitle IBG Holdings LLC to 74.2% of the outstanding voting rights in Interactive Brokers Group, Inc. It also owns shares in non-voting shares in IBG LLC. IBG Holdings LLC acts as a holding company for its interests
in Interactive Brokers Group, Inc. and IBG LLC.
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IBKR Member Holdings LLC, a Delaware limited liability company, owns 100% of the outstanding voting rights in IBG Holdings LLC.
IBKR Member Holdings LLC acts as a holding company for its interests in IBG Holdings LLC.
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Thomas Peterffy, as trustee of the Thomas Peterffy 2018 Revocable Trust, owns 100% of the outstanding voting rights in IBKR Member
Holdings LLC. The Thomas Peterffy 2018 Revocable Trust is a personal estate planning vehicle and Mr. Thomas Peterffy, a citizen of the United States, is the Chairman of Interactive Brokers Group, Inc.
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Dated: October 10, 2024
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IB GLOBAL INVESTMENTS LLC
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IBG LLC
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INTERACTIVE BROKERS GROUP, INC.
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IBG HOLDINGS LLC
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IBKR MEMBER HOLDINGS LLC
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THE THOMAS PETERFFY 2018 REVOCABLE TRUST
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By:
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/s/ Thomas Peterffy
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Name: Thomas Peterffy
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Title: Duly Authorized
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Dated: October 10, 2024
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/s/ Thomas Peterffy
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Thomas Peterffy
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Date
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Security
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Transaction
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Amount
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Weighted average
price ($)
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10/8/2024
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American depository shares
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Sale
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1,955,550
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$9.68
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10/9/2024
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American depository shares
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Sale
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3,069,794
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$8.43
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