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Alibaba (BABA) CFO receives 160,000 RSUs vesting quarterly from 2026

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Xu Hong reported acquisition or exercise transactions in this Form 4 filing.

Alibaba Group Holding Ltd reported that Chief Financial Officer Xu Hong received a grant of 160,000 Restricted Share Units (RSUs). Each RSU represents a contingent right to receive one ordinary share, making the award equivalent to 160,000 ordinary shares if fully vested.

The filing states that these RSUs are currently unvested and will vest in sixteen equal quarterly installments beginning on June 25, 2026, subject to the terms and conditions of the underlying award agreement. This is a compensation-related equity award rather than an open‑market share purchase or sale.

Positive

  • None.

Negative

  • None.
Insider Xu Hong
Role Chief Financial Officer
Type Security Shares Price Value
Grant/Award Restricted Share Units 160,000 $0.00 --
Holdings After Transaction: Restricted Share Units — 160,000 shares (Direct, null)
Footnotes (1)
  1. Each restricted share unit represents a contingent right to receive one ordinary share. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ordinary shares that vests in sixteen equal quarterly installments beginning on Jun 25, 2026, subject to the terms and conditions of the underlying award agreement.
RSUs granted 160,000 units Restricted Share Units granted to CFO Xu Hong
Underlying ordinary shares 160,000 shares Each RSU equals one ordinary share
Grant price $0.0000 per unit Grant, award, or other acquisition of RSUs
Installments 16 quarterly installments Vesting schedule for the RSU award
Vesting start date June 25, 2026 First vesting date for the RSUs
Holdings after grant 160,000 RSUs Total Restricted Share Units following the transaction
Restricted Share Units financial
"Each restricted share unit represents a contingent right to receive one ordinary share."
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.
contingent right financial
"Each restricted share unit represents a contingent right to receive one ordinary share."
unvested portion financial
"Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ordinary shares..."
quarterly installments financial
"...that vests in sixteen equal quarterly installments beginning on Jun 25, 2026..."
award agreement financial
"...subject to the terms and conditions of the underlying award agreement."
An award agreement is a legal contract that spells out the terms of a pay or equity grant—such as stock options, restricted shares, or cash bonuses—given to an employee, director or consultant. It describes what is being granted, any conditions for keeping it (for example, earning it over time or meeting performance targets), and what happens if the person leaves or breaks rules. Investors care because these agreements affect company costs, potential share dilution and how executives are motivated and rewarded.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Xu Hong
(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. Issuer Name and Ticker or Trading Symbol
Alibaba Group Holding Ltd [ BABA ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Financial Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/29/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Share Units(1)05/29/2026A160,000 (2) (2)Ordinary Shares(1)160,000(1)$0160,000(2)D
Explanation of Responses:
1. Each restricted share unit represents a contingent right to receive one ordinary share.
2. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ordinary shares that vests in sixteen equal quarterly installments beginning on Jun 25, 2026, subject to the terms and conditions of the underlying award agreement.
/s/ Kevin Jinwei Zhang, as Attorney-in-Fact for Toby Hong Xu06/02/2026
** 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 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)

Source: View Original Filing on SEC EDGAR

FAQ

What did Alibaba (BABA) CFO Xu Hong report in this Form 4?

Xu Hong reported receiving a grant of 160,000 Restricted Share Units. Each unit represents a right to one ordinary share, forming part of his equity compensation package under Alibaba’s long-term incentive arrangements.

How many Alibaba RSUs were granted to CFO Xu Hong?

The Form 4 shows a grant of 160,000 Restricted Share Units. According to the filing, each RSU corresponds to one ordinary share, so the award represents a potential 160,000 ordinary shares upon full vesting.

When do Xu Hong’s Alibaba RSUs begin vesting and on what schedule?

The outstanding unvested RSUs begin vesting on June 25, 2026. They vest in sixteen equal quarterly installments, spreading the potential share delivery over several years, subject to the award agreement’s terms and conditions.

Are Xu Hong’s Alibaba RSUs an open-market share purchase or sale?

No, the Form 4 describes a grant or award acquisition of RSUs, not an open-market trade. It is a compensation-related equity award with a grant price of zero, tied to future vesting rather than immediate cash transactions.

What does each Alibaba Restricted Share Unit represent in this filing?

Each Restricted Share Unit represents a contingent right to receive one ordinary share. The filing notes that delivery of those shares depends on satisfaction of vesting terms outlined in the underlying award agreement.