How many Alibaba ordinary shares underlie Evans’s reported restricted share units?

The filing lists restricted share unit awards over 12,000, 80,000, 640,000 and 32,000 Alibaba ordinary shares. Each unit is granted as one ADS, and each ADS represents eight ordinary shares, so these totals already reflect the ordinary shares tied to those awards.

How do the Alibaba restricted share units reported by Evans vest over time?

The restricted share units vest over several years, with awards vesting in four equal annual installments beginning April 1, 2023 and April 1, 2024, one award vesting fully on April 1, 2026, and another vesting in two equal annual installments beginning April 1, 2025.

Alibaba (NYSE: BABA) president details RSU and option holdings in Form 3

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Alibaba Group Holding Ltd president J. Michael Evans has filed an initial Form 3 showing his equity awards in the company. He reports several unvested restricted share unit awards granted in the form of ADSs, representing underlying ordinary shares of 12,000, 80,000, 640,000 and 32,000 ordinary shares, each tied to specific multi‑year vesting schedules beginning between April 1, 2023 and April 1, 2025. He also reports option awards in ADS form over 8,000,000 and 1,200,000 ordinary shares, with exercise prices of US$79.96 and US$84.60 per ADS and expirations on July 31, 2027 and May 13, 2032. Each restricted unit represents one ADS, and each ADS represents eight ordinary shares, so these figures reflect the ordinary shares underlying his awards.

Insider Trade Summary

6 transactions reported

Mixed 6 txns

Insider EVANS J. MICHAEL

Role President

Type	Security	Shares	Price	Value
holding	Restricted Shares Units	--	--	--
holding	Restricted Shares Units	--	--	--
holding	Restricted Shares Units	--	--	--
holding	Restricted Shares Units	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--

Holdings After Transaction: Restricted Shares Units — 764,000 shares (Direct); Option (right to buy) — 9,200,000 shares (Direct)

Footnotes (9)

F1. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of American Depository Shares ("ADSs") that vests in four equal annual installments beginning on Apr 1, 2023, subject to the terms and conditions of the underlying award agreement.
F2. Each 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.
F3. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs that vests in full on Apr 1, 2026, subject to the terms and conditions of the underlying award agreement.
F4. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs, that vests in two equal annual installments beginning on April 1, 2025, subject to the terms and conditions of the underlying award agreement.
F5. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs that vests in four equal annual installments beginning on April 1, 2024, subject to the terms and conditions of the underlying award agreement.
F6. Reflects an option award granted in the form of ADSs that is fully vested. This amount represents the ordinary shares underlying the ADSs in this award.
F7. The exercise price of this option is US$79.96 per ADS.
F8. Reflects an option award granted in the form of ADSs that vests in two equal annual installments beginning on April 1, 2025. This amount represents the ordinary shares underlying the ADSs in this award.
F9. The exercise price of this option is US$84.60 per ADS.

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Accepted by SEC EDGAR 03/18/2026 - 08:28 AM

FAQ

What does Alibaba (BABA) president J. Michael Evans report on this Form 3?

He reports his existing equity awards in Alibaba, including multiple unvested restricted share unit grants and stock options over ordinary shares, all granted in ADS form, with detailed vesting schedules and option expiration dates disclosed for transparency on his incentive-based holdings.

What stock options does Alibaba (BABA) president Evans hold according to the Form 3?

He reports two option awards in ADS form over 8,000,000 and 1,200,000 Alibaba ordinary shares. One option is fully vested, while the other vests in two equal annual installments, with expirations on July 31, 2027 and May 13, 2032 respectively.

What are the exercise prices of the options reported by Evans in Alibaba stock?

The Form 3 footnotes state exercise prices of US$79.96 per ADS for the fully vested option and US$84.60 per ADS for the option vesting in two installments. Both prices apply at the ADS level, with each ADS representing eight ordinary shares.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

EVANS J. MICHAEL

(Last)

(First)

(Middle)

26/F TOWER ONE, TIMES SQUARE

1 MATHESON STREET, CAUSEWAY BAY

(Street)

HONG KONG

00000

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
Alibaba Group Holding Ltd [ BABA ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	President

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Restricted Shares Units	⁽¹⁾	⁽¹⁾	Ordinary Shares⁽²⁾	12,000⁽¹⁾⁽²⁾	⁽²⁾	D
Restricted Shares Units	⁽³⁾	⁽³⁾	Ordinary Shares⁽²⁾	80,000⁽²⁾⁽³⁾	⁽²⁾	D
Restricted Shares Units	⁽⁴⁾	⁽⁴⁾	Ordinary Shares⁽²⁾	640,000⁽²⁾⁽⁴⁾	⁽²⁾	D
Restricted Shares Units	⁽⁵⁾	⁽⁵⁾	Ordinary Shares⁽²⁾	32,000⁽²⁾⁽⁵⁾	⁽²⁾	D
Option (right to buy)	⁽⁶⁾	07/31/2027	Ordinary Shares⁽⁶⁾	8,000,000⁽⁶⁾	⁽⁷⁾	D
Option (right to buy)	⁽⁸⁾	05/13/2032	Ordinary Shares⁽⁸⁾	1,200,000⁽⁸⁾	⁽⁹⁾	D

Explanation of Responses:

1. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of American Depository Shares ("ADSs") that vests in four equal annual installments beginning on Apr 1, 2023, subject to the terms and conditions of the underlying award agreement.

2. Each 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.

3. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs that vests in full on Apr 1, 2026, subject to the terms and conditions of the underlying award agreement.

4. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs, that vests in two equal annual installments beginning on April 1, 2025, subject to the terms and conditions of the underlying award agreement.

5. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs that vests in four equal annual installments beginning on April 1, 2024, subject to the terms and conditions of the underlying award agreement.

6. Reflects an option award granted in the form of ADSs that is fully vested. This amount represents the ordinary shares underlying the ADSs in this award.

7. The exercise price of this option is US$79.96 per ADS.

8. Reflects an option award granted in the form of ADSs that vests in two equal annual installments beginning on April 1, 2025. This amount represents the ordinary shares underlying the ADSs in this award.

9. The exercise price of this option is US$84.60 per ADS.

	/s/ Kevin Jinwei Zhang, as Attorney-in-Fact for J. Michael Evans	03/18/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

Source: View Original Filing on SEC EDGAR