SEC Form 4 · accession 0001193125-26-286743
Alibaba Group Holding Ltd · BABA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hong Xu
Officer — Chief Financial Officer
Period of report
Jun 25, 2026
Accepted (ET)
Jun 29, 2026 · 6:04 am EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001577552
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Jun 25, 2026 | M | 10,000 | — | A | 76,550 | D | |
| Ordinary SharesF1 | Jun 25, 2026 | M | 360,000 | — | A | 436,550 | D | |
| Ordinary SharesF2 | Jun 25, 2026 | M | 9,000 | — | A | 445,550 | D | |
| Ordinary SharesF2 | Jun 25, 2026 | M | 10,000 | — | A | 455,550 | D | |
| Ordinary SharesF4 | Jun 25, 2026 | S | 175,054 | $12.15 | D | 280,496 | D | |
| Ordinary Shares | holding | — | — | — | 657,570 | I | By trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF6,F5 | — | Jun 25, 2026 | M | 10,000 | D | — | — | Ordinary Shares | 10,000 | 70,000 | D |
| Restricted Share UnitsF7,F5 | — | Jun 25, 2026 | M | 360,000 | D | — | — | Ordinary Shares | 360,000 | 864,000 | D |
| Restricted Share UnitsF9,F8 | — | Jun 25, 2026 | M | 9,000 | D | — | — | Ordinary Shares | 9,000 | 99,000 | D |
| Restricted Share UnitsF10,F8 | — | Jun 25, 2026 | M | 10,000 | D | — | — | Ordinary Shares | 10,000 | 150,000 | D |
Explanation of responses
- F1Reflects restricted share units that vested and settled into American Depositary Shares ("ADSs"). Each ADS represents 8 ordinary shares. This amount represents the ordinary shares underlying the ADSs acquired in connection with such vesting.
- F10Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ordinary shares that vests in sixteen equal quarterly installments on beginning on Jun 25, 2026, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Jun 25, 2026.
- F2Reflects restricted share units that vested and settled into ordinary shares.
- F3Pursuant to the issuer's equity plan, these shares of ordinary shares were withheld and sold in the open market in Hong Kong on behalf of the reporting person to satisfy tax withholding obligations related to the reporting person's vesting of restricted shares units reported herein.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices denominated in Hong Kong dollars ranging from 94.35 to 95.80 inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The sales prices reported herein were converted from Hong Kong dollars to United States dollars at a conversion price of HK$7.8464 to US$1.00.
- F5Each restricted share unit represents a contingent right to receive one ADS. Each ADS represents 8 ordinary shares. This amount represents the ordinary shares underlying the vested ADSs in this award.
- F6Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs that vests in sixteen equal annual installments beginning on Jul 1, 2024, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Jun 25, 2026.
- F7Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs that vests in annual installments of 15%, 25%, 30% and 30% beginning on Aug 14, 2025, subject to the terms and conditions of theunderlying award agreement. The vesting reported herein was as of Jun 25, 2026.
- F8Each restricted share unit represents a contingent right to receive one ordinary share. This amount represents the number of vested ordinary shares.
- F9Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ordinary shares that vests in sixteen equal quarterly installments on beginning on Jul 1, 2025, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Jun 25, 2026.