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Maggie Wei Wu discloses Alibaba (BABA) share and RSU holdings

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

Rhea-AI Filing Summary

Alibaba Group Holding Ltd director Maggie Wei Wu has filed an initial Form 3 reporting her equity holdings in the company. She directly holds 3,613,352 ordinary shares and indirectly holds 7,200,000 ordinary shares through a trust.

She also has unvested restricted share unit awards granted in the form of American Depositary Shares. One award covers 33,344 ordinary shares and vests in six equal annual installments beginning on Apr 1, 2021, and another covers 14,936 ordinary shares vesting in six equal annual installments beginning on Apr 1, 2022, subject to the terms of the underlying award agreements.

Positive

  • None.

Negative

  • None.
Insider Wu Maggie Wei
Role Director
Type Security Shares Price Value
holding Restricted Shares Units -- -- --
holding Restricted Shares Units -- -- --
holding Ordinary Shares -- -- --
holding Ordinary Shares -- -- --
Holdings After Transaction: Restricted Shares Units — 48,280 shares (Direct); Ordinary Shares — 3,613,352 shares (Direct); Ordinary Shares — 7,200,000 shares (Indirect, By trust)
Footnotes (3)
  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.

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FAQ

What does Maggie Wei Wu’s Form 3 filing show for Alibaba (BABA)?
The Form 3 shows director Maggie Wei Wu’s initial beneficial ownership in Alibaba. She reports direct and indirect holdings of ordinary shares plus unvested restricted share units granted in the form of ADSs with multi-year vesting schedules.

How many Alibaba (BABA) ordinary shares does Maggie Wei Wu hold directly and indirectly?
Maggie Wei Wu reports 3,613,352 Alibaba ordinary shares held directly. She also reports 7,200,000 ordinary shares held indirectly through a trust, reflecting substantial beneficial ownership across both personal and trust accounts.

What restricted share units does Maggie Wei Wu report in Alibaba (BABA)?
She reports two unvested RSU awards in ADS form, representing 33,344 and 14,936 underlying ordinary shares. These RSUs vest annually over six years, subject to the terms of their respective award agreements.

How do Alibaba (BABA) ADS-based RSUs convert into ordinary shares for Maggie Wei Wu?
Each restricted share unit gives a contingent right to receive one ADS, and each ADS represents 8 ordinary shares. The amounts disclosed, 33,344 and 14,936, already reflect the total ordinary shares underlying these ADS-based RSU awards.

When do Maggie Wei Wu’s Alibaba (BABA) RSUs begin vesting?
One RSU award begins vesting in six equal annual installments on April 1, 2021. The second award vests in six equal annual installments beginning on April 1, 2022, in each case subject to the governing award agreement.

Does Maggie Wei Wu’s Form 3 indicate recent Alibaba (BABA) share purchases or sales?
No specific purchases or sales are indicated. The entries are described as holdings, with transaction direction fields marked as unknown. The filing functions as an initial statement of her existing beneficial ownership positions.
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*
Wu Maggie Wei
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
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 Shares3,613,352D
Ordinary Shares7,200,000IBy 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)33,344(1)(2)(2)D
Restricted Shares Units (3) (3)Ordinary Shares(2)14,936(2)(3)(2)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.
/s/ Kevin Jinwei Zhang, as Attorney-in-Fact for Maggie Wei Wu03/18/2026
** 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