Alibaba director exercises 3,333 RSUs into shares

Alibaba Group Holding Ltd director Joseph C. Tsai reported the vesting of 3,333 restricted share units on April 1, 2026, which settled into an equal number of ordinary shares at no exercise price.

Rhea-AI Filing Summary

Alibaba Group Holding Ltd director Joseph C. Tsai reported the vesting of 3,333 restricted share units on April 1, 2026, which settled into an equal number of ordinary shares at no exercise price. Following this RSU vesting, he directly holds 814,405 ordinary shares and 66,667 restricted share units. The filing also shows substantial indirect ownership of ordinary shares held by his spouse and a related corporation.

Insider Trade Summary

3,333 shares exercised/converted

Exercise 4 txns

Insider Tsai Joseph C

Role Director

Type	Security	Shares	Price	Value
Exercise	Restricted Share Units	3,333	$0.00	$0.00
Exercise	Ordinary Shares	3,333	$0.00	$0.00
holding	Ordinary Shares	--	--	--
holding	Ordinary Shares	--	--	--

Holdings After Transaction: Restricted Share Units — 66,667 contracts (Direct); Ordinary Shares — 814,405 shares (Direct); Ordinary Shares — 1,280,000 shares (Indirect, By spouse); Ordinary Shares — 113,539,168 shares (Indirect, By corporation)

Footnotes (3)

1. F1. Reflects restricted share units that vested and settled into ordinary shares.
2. F2. Each restricted share unit represents a contingent right to receive one ordinary share. This amount represents the number of vested ordinary shares.
3. F3. 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 beginning on Jul 1, 2025, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Apr 1, 2026.

Key Figures

RSUs vested: 3,333 units Direct ordinary shares: 814,405 shares Unvested RSUs outstanding: 66,667 units +3 more

6 metrics

RSUs vested 3,333 units Restricted share units vested and settled to ordinary shares on April 1, 2026

Direct ordinary shares 814,405 shares Direct Alibaba ordinary share holdings after the RSU settlement

Unvested RSUs outstanding 66,667 units Restricted share units remaining from the award after the reported vesting

Indirect shares by spouse 1,280,000 shares Ordinary shares reported as indirectly owned through spouse

Indirect shares by corporation 113,539,168 shares Ordinary shares reported as indirectly owned through a corporation

Exercise price $0.00 per share Price per share for 3,333 ordinary shares received from RSU settlement

Key Terms

Restricted Share Units, derivative security, indirect ownership, vested ordinary shares, +1 more

5 terms

Restricted Share Units financial

"Reflects restricted share units that vested and settled into ordinary shares."

Restricted share units (RSUs) are a promise from a company to give an employee or service provider actual shares or cash equal to the shares after certain conditions are met, typically staying with the company for a set time or hitting performance targets. Think of them like a time-locked gift card that becomes usable only after you’ve earned it. For investors, RSUs matter because they align employee incentives with company performance and can increase the number of shares outstanding over time, diluting existing ownership and affecting earnings per share.

derivative security financial

"transaction_code_description": "Exercise or conversion of derivative security""

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

indirect ownership financial

"direct_or_indirect": "I","nature_of_ownership": "By spouse""

vested ordinary shares financial

"This amount represents the number of vested ordinary shares."

quarterly installments financial

"award ... vests in twenty-four equal quarterly installments beginning on Jul 1, 2025"

FAQ

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

What insider transaction did Joseph Tsai report for Alibaba (BABA)?

Joseph C. Tsai reported the vesting of 3,333 restricted share units that settled into 3,333 Alibaba ordinary shares. This is a compensation-related RSU vesting, not an open-market purchase or sale, and was reported as an exercise or conversion of a derivative security.

How many Alibaba (BABA) shares does Joseph Tsai hold directly after this filing?

After this RSU vesting, Joseph Tsai directly holds 814,405 Alibaba ordinary shares. He also has 66,667 restricted share units outstanding, which will continue to vest in equal quarterly installments, subject to the terms of the underlying award agreement described in the filing footnotes.

What are the details of Joseph Tsai’s Alibaba (BABA) restricted share units?

Each restricted share unit represents a contingent right to receive one Alibaba ordinary share. The award vests in twenty-four equal quarterly installments beginning July 1, 2025. The 3,333 units reported here vested as of April 1, 2026 and were settled into ordinary shares.

Did Joseph Tsai buy or sell Alibaba (BABA) shares on the market in this Form 4?

The Form 4 does not show any open-market buys or sells. It reports an exercise or conversion of 3,333 restricted share units into ordinary shares at a price of $0.00 per share, reflecting compensation vesting rather than a market transaction by Joseph Tsai.

What indirect Alibaba (BABA) holdings related to Joseph Tsai are shown?

The filing lists indirect ownership of 1,280,000 Alibaba ordinary shares held by his spouse and 113,539,168 ordinary shares held by a corporation. These entries describe share holdings associated with Joseph Tsai but categorized as indirect ownership, separate from his direct personal holdings.

How many restricted share units remain unvested for Joseph Tsai at Alibaba (BABA)?

After this vesting event, 66,667 restricted share units remain outstanding for Joseph Tsai. These unvested units are part of an award that continues to vest in equal quarterly installments beginning July 1, 2025, subject to the award agreement’s terms and conditions.

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

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Accepted by SEC EDGAR 04/03/2026 - 06:46 AM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Tsai Joseph C

(Last) (First) (Middle)

26/F TOWER ONE, TIMES SQUARE

1 MATHESON STREET

(Street)

CAUSEWAY BAY HONG KONG

(City) (State) (Zip)

HONG KONG

(Country)

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

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/01/2026

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

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Ordinary Shares	04/01/2026		M		3,333	A	(1)	814,405	D
Ordinary Shares								1,280,000	I	By spouse
Ordinary Shares								113,539,168	I	By corporation

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Share Units	(2)	04/01/2026		M			3,333	(3)	(3)	Ordinary Shares(2)	3,333(2)	$0	66,667(3)	D

Explanation of Responses:

1. Reflects restricted share units that vested and settled into ordinary shares.

2. Each restricted share unit represents a contingent right to receive one ordinary share. This amount represents the number of vested ordinary shares.

3. 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 beginning on Jul 1, 2025, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Apr 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.

	/s/ Kevin Jinwei Zhang, as Attorney-in-Fact for Joseph C. Tsai	04/03/2026
	** 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 4 (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 4: SEC 1474 (03-26)