SEC Form 4 · accession 0001193125-26-389757
Alibaba Group Holding Ltd · BABA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yongming Wu
Officer — Chief Executive Officer · Director
Period of report
Sep 10, 2026
Accepted (ET)
Sep 14, 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 | Sep 10, 2026 | M | 320,000 | — | A | 1,684,418 | D | |
| Ordinary Shares | holding | — | — | — | 108,000 | I | By spouse | |
| Ordinary Shares | holding | — | — | — | 12,320,000 | 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 UnitsF3,F2 | — | Sep 10, 2026 | M | 320,000 | D | — | — | Ordinary Shares | 320,000 | 640,000 | 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.
- F2Each 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 ADSs in this award.
- F3Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs that vests in five equal annual installments beginning on Sep 10, 2024, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Sep 10, 2026.