Alibaba CEO gains 320K shares from RSU vesting

Alibaba CEO Wu Yongming had RSUs vest into ADSs, increasing his direct ordinary share holdings while unvested awards and significant indirect holdings remain.

Available on EDGAR 09/14/2026 - 06:03 AM EDT Accepted by SEC EDGAR 09/14/2026 - 06:03 AM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Alibaba Group Holding Ltd (BABA) reported that Chief Executive Officer and director Wu Yongming320,000 restricted share units vested and settled into American Depositary Shares1,684,418 ordinary shares directlyunvested portion of the restricted share unit award remains outstanding

Insider Trade Summary

320,000 shares exercised/converted

Exercise 2 txns

Insider Wu Yongming

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Share Units F2, F3	320,000	$0.00	$0.00
Exercise	Ordinary Shares F1	320,000	--	--
Holding	Ordinary Shares	--	--	--
Holding	Ordinary Shares	--	--	--

Holdings After Transaction: Restricted Share Units — 640,000 contracts (Direct); Ordinary Shares — 1,684,418 shares (Direct); Ordinary Shares — 108,000 shares (Indirect, By spouse); Ordinary Shares — 12,320,000 shares (Indirect, By trust)

Holdings Before and After: Restricted Share Units, 960,000 to 640,000 contracts (Direct); Ordinary Shares, 1,364,418 to 1,684,418 shares (Direct)

Footnotes (3)

1. F1. Reflects restricted share units that vested and settled into American Depositary Shares ("ADSs"). Each ADS represents 8 ordinary shares. This amount represents the ordinary shares underlying the ADSs acquired in connection with such vesting.
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 five equal annual installments beginning on Sep 10, 2024, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Sep 10, 2026.

Key Figures

RSUs vested into ADSs: 320,000 restricted share units Ordinary shares acquired from RSU vesting: 320,000 ordinary shares Direct ordinary share holdings after transaction: 1,684,418 ordinary shares +4 more

7 metrics

RSUs vested into ADSs 320,000 restricted share units Vested and settled into ADSs on September 10, 2026

Ordinary shares acquired from RSU vesting 320,000 ordinary shares Ordinary shares underlying ADSs received upon RSU vesting on September 10, 2026

Direct ordinary share holdings after transaction 1,684,418 ordinary shares Direct holdings of Wu Yongming following the September 10, 2026 transactions

Unvested RSU award (ordinary share equivalent) 640,000 ordinary shares Ordinary shares underlying the outstanding unvested portion of the RSU award after the reported vesting

Indirect holdings by spouse 108,000 ordinary shares Indirect ownership reported as held by spouse

Indirect holdings by trust 12,320,000 ordinary shares Indirect ownership reported as held by a trust

RSU vesting schedule Five equal annual installments RSU award vests in five equal annual installments beginning September 10, 2024

Key Terms

Restricted Share Units, American Depositary Shares, contingent right, vests in five equal annual installments

4 terms

Restricted Share Units financial

"Reflects restricted share units that vested and settled into American Depositary 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.

American Depositary Shares financial

"vested and settled into American Depositary Shares ("ADSs"). Each ADS represents 8 ordinary shares"

American depositary shares (ADSs) are a way for investors in the United States to buy shares of foreign companies without dealing with international markets directly. They represent ownership in a foreign company's stock and are traded on U.S. stock exchanges, making it easier for American investors to buy, sell, and own parts of companies from around the world.

contingent right financial

"Each restricted share unit represents a contingent right to receive one ADS"

vests in five equal annual installments financial

"award granted in the form of ADSs that vests in five equal annual installments"

FAQ

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

What insider transaction did Alibaba (BABA) report for CEO Wu Yongming on September 10, 2026?

Wu Yongming had 320,000 restricted share unitsADSs representing 320,000 ordinary shares

How many Alibaba (BABA) ordinary shares does CEO Wu Yongming hold directly after this Form 4 event?

After the September 10, 2026 vesting, Wu Yongming holds 1,684,418 ordinary shares

What unvested restricted share units remain for Alibaba (BABA) CEO Wu Yongming after the reported vesting?

Following the reported vesting, 640,000 ordinary sharesunvested portionfive equal annual installments beginning on September 10, 2024

Does Alibaba (BABA) CEO Wu Yongming have indirect ownership of ordinary shares?

Yes. The Form 4 shows indirect holdings of 108,000 ordinary sharesby his spouse12,320,000 ordinary sharesby a trust

Were Alibaba (BABA) CEO Wu Yongming’s RSU vesting transactions under a Rule 10b5-1 plan?

No. The filing’s Rule 10b5-1 checkbox indicates no Rule 10b5-1 trading plan

How are Alibaba (BABA) ADSs and ordinary shares related in Wu Yongming’s RSU award?

Each restricted share unitone ADSeach ADS represents 8 ordinary shares

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

Form 4 Insider Transactions: What Each Field Means →

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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^*

Wu Yongming

(Last) (First) (Middle)

26/F TOWER ONE, TIMES SQUARE

1 MATHESON STREET, CAUSEWAY BAY

(Street)

HONG KONG 00000

(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
X	Officer (give title below)		Other (specify below)
	Chief Executive Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/10/2026

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	09/10/2026		M		320,000	A	(1)	1,684,418	D
Ordinary Shares								108,000	I	By spouse
Ordinary Shares								12,320,000	I	By trust

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)	09/10/2026		M			320,000	(3)	(3)	Ordinary Shares(2)	320,000(2)	$0	640,000(3)	D

Explanation of Responses:

1. Reflects restricted share units that vested and settled into American Depositary Shares ("ADSs"). Each ADS represents 8 ordinary shares. This amount represents the ordinary shares underlying the ADSs acquired in connection with such vesting.

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 five equal annual installments beginning on Sep 10, 2024, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Sep 10, 2026.

	/s/ Kevin Jinwei Zhang, as Attorney-in-Fact for Eddie Yongming Wu	09/14/2026
	** 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)