SEC Form 4 · accession 0001193125-26-295478
Alibaba Group Holding Ltd · BABA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph C Tsai
Director
Period of report
Jul 1, 2026
Accepted (ET)
Jul 6, 2026 · 6:03 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 | Jul 1, 2026 | M | 3,333 | — | A | 817,738 | D | |
| Ordinary SharesF1 | Jul 1, 2026 | M | 7,500 | — | A | 825,238 | D | |
| Ordinary Shares | holding | — | — | — | 1,280,000 | I | By spouse | |
| Ordinary Shares | holding | — | — | — | 113,539,168 | I | By corporation |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF3,F2 | — | Jul 1, 2026 | M | 3,333 | D | — | — | Ordinary Shares | 3,333 | 63,334 | D |
| Restricted Share UnitsF4,F2 | — | Jul 1, 2026 | M | 7,500 | D | — | — | Ordinary Shares | 7,500 | 112,500 | D |
Explanation of responses
- F1Reflects restricted share units that vested and settled into ordinary shares.
- F2Each restricted share unit represents a contingent right to receive one ordinary share. This amount represents the number of vested ordinary shares.
- F3Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ordinary shares that vests in twenty-four equal quarterly installments beginning on Jul 1, 2025, subject to the terms and conditions of theunderlying award agreement. The vesting reported herein was as of Jul 1, 2026.
- F4Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ordinary shares that vests in sixteen equal quarterly installments beginning on Jul 1, 2026, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Jul 1, 2026.
Remarks
This report does not include ordinary shares held by Joe and Clara Tsai Foundation Limited and Parufam Limited, which were reported in the Issuer's annual report on Form 20-F. The Reporting Person disclaims any pecuniary interest in, or beneficial ownership over, such ordinary shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.