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Alibaba GC Yu Siying reports initial share holdings

Alibaba Group Holding Ltd General Counsel Yu Siying filed an initial ownership report showing her equity stake in the company.

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

Alibaba Group Holding Ltd General Counsel Yu Siying filed an initial ownership report showing her equity stake in the company. The filing lists direct holdings of 574,365 ordinary shares and an additional 3,809,664 ordinary shares held indirectly by a trust.

The report also details several unvested restricted share unit (RSU) awards. These RSUs relate to underlying ordinary shares in amounts of 25,336, 11,200, 42,672, 56,672, and 56,000 shares, vesting over multi-year schedules starting between Apr 1, 2021 and Jul 1, 2025 under their respective award agreements.

Positive

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Negative

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Insider Yu Siying
Role General Counsel
Type Security Shares Price Value
holding Restricted Shares Units -- -- --
holding Restricted Shares Units -- -- --
holding Restricted Shares Units -- -- --
holding Restricted Shares Units -- -- --
holding Restricted Shares Units -- -- --
holding Ordinary Shares -- -- --
holding Ordinary Shares -- -- --
Holdings After Transaction: Restricted Shares Units — 191,880 contracts (Direct); Ordinary Shares — 574,365 shares (Direct); Ordinary Shares — 3,809,664 shares (Indirect, By trust)
Footnotes (7)
  1. F1. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of American Depository Shares ("ADSs") that vests in six equal annual installments beginning on Apr 1, 2021, subject to the terms and conditions of the underlying award agreement.
  2. 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.
  3. F3. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs that vests in six equal annual installments beginning on Apr 1, 2022, subject to the terms and conditions of the underlying award agreement.
  4. F4. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs that vests in six equal annual installments beginning on Apr 1, 2024, subject to the terms and conditions of the underlying award agreement.
  5. F5. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ADSs that vests in twenty-four equal quarterly installments beginning on Jul 1, 2024, subject to the terms and conditions of the underlying award agreement.
  6. F6. Reflects 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 on beginning on Jul 1, 2025, subject to the terms and conditions of the underlying award agreement.
  7. F7. Each restricted share unit represents a contingent right to receive one ordinary share.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does Alibaba (BABA) General Counsel Yu Siying report on this Form 3?
Yu Siying reports her initial ownership in Alibaba, including direct and indirect ordinary share holdings and multiple unvested RSU awards. The filing establishes her starting equity position as an officer, detailing both current shares and contingent rights to receive additional shares over time.

How many Alibaba (BABA) ordinary shares does Yu Siying hold directly and indirectly?
Direct holdings total 574,365 ordinary shares, while 3,809,664 ordinary shares are held indirectly by a trust. Together, these positions show her combined direct and trust-related stake as reported in this initial statement of beneficial ownership for Alibaba’s General Counsel.

What Alibaba (BABA) RSU awards are disclosed for Yu Siying?
Several unvested restricted share unit awards are disclosed, tied to 25,336, 11,200, 42,672, 56,672, and 56,000 underlying ordinary shares. These RSUs vest in equal installments over annual or quarterly schedules, beginning between Apr 1, 2021 and Jul 1, 2025, subject to award terms.

How are Alibaba (BABA) ADS-based RSUs described in Yu Siying’s filing?
Certain RSUs are granted in the form of ADSs, with each RSU representing a right to receive one ADS, and each ADS representing eight ordinary shares. The filing also notes that these awards vest in scheduled installments under the applicable award agreements and conditions.

Does this Alibaba (BABA) Form 3 show any buy or sell transactions by Yu Siying?
No buy or sell transactions are indicated. The entries are categorized as holdings, reflecting existing direct and indirect ordinary share positions and unvested RSU awards. The filing functions as an initial snapshot of ownership rather than a record of recent market trades.

How do the Alibaba (BABA) RSUs for Yu Siying vest over time?
Vesting occurs in equal installments, either annually or quarterly, starting on Apr 1, 2021, Apr 1, 2022, Apr 1, 2024, Jul 1, 2024, and Jul 1, 2025. Each schedule is governed by the specific RSU award agreement and its terms and conditions.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 3
FORM 3UNITED 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*
Yu Siying
(Last)(First)(Middle)
26/F TOWER ONE, TIMES SQUARE
1 MATHESON STREET, CAUSEWAY BAY
(Street)
HONG KONGHONG KONG00000
(City)(State)(Zip)
HONG KONG
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
General Counsel
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
Ordinary Shares574,365D
Ordinary Shares3,809,664IBy trust
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)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Shares Units (1) (1)Ordinary Shares(2)25,336(1)(2)(2)D
Restricted Shares Units (3) (3)Ordinary Shares(2)11,200(2)(3)(2)D
Restricted Shares Units (4) (4)Ordinary Shares(2)42,672(2)(4)(2)D
Restricted Shares Units (5) (5)Ordinary Shares(2)56,672(2)(5)(2)D
Restricted Shares Units (6) (6)Ordinary Shares(7)56,000(6)(7)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 six equal annual installments beginning on Apr 1, 2021, 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 six equal annual installments beginning on Apr 1, 2022, 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 six equal annual installments beginning on Apr 1, 2024, 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 twenty-four equal quarterly installments beginning on Jul 1, 2024, subject to the terms and conditions of the underlying award agreement.
6. Reflects 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 on beginning on Jul 1, 2025, subject to the terms and conditions of the underlying award agreement.
7. Each restricted share unit represents a contingent right to receive one ordinary share.
/s/ Kevin Jinwei Zhang, as Attorney-in-Fact for Siying Yu03/18/2026
** Signature of Reporting PersonDate
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

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