What do the vested restricted share units mean for Alibaba (BABA) CEO compensation?

The filing shows 13,333 restricted share units vested and converted into ordinary shares as part of Wu Yongming’s equity compensation. Each restricted share unit represented a contingent right to receive one Alibaba ordinary share when the vesting conditions were met.

What Alibaba (BABA) shares related to Wu Yongming are held indirectly?

Indirectly, 108,000 Alibaba ordinary shares are held by Wu Yongming’s spouse and 12,320,000 ordinary shares are held by a trust. These indirect positions are reported to give investors a fuller picture of total share exposure associated with the CEO.

Alibaba CEO acquires 13,333 shares via RSUs

Alibaba Group Holding Ltd Chief Executive Officer and director Wu Yongming exercised restricted share units that vested into ordinary shares.

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Form Type

Rhea-AI Filing Summary

Alibaba Group Holding Ltd Chief Executive Officer and director Wu Yongming exercised restricted share units that vested into ordinary shares. On Apr 1, 2026, 13,333 restricted share units settled into 13,333 ordinary shares at an exercise price of $0.00 per share as compensation.

Following these transactions, Wu held 973,085 ordinary shares directly and 266,667 restricted share units outstanding and unvested. Indirect holdings included 108,000 ordinary shares held by his spouse and 12,320,000 ordinary shares held by a trust.

Insider Trade Summary

13,333 shares exercised/converted

Exercise 4 txns

Insider Wu Yongming

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Share Units	13,333	$0.00	$0.00
Exercise	Ordinary Shares	13,333	$0.00	$0.00
holding	Ordinary Shares	--	--	--
holding	Ordinary Shares	--	--	--

Holdings After Transaction: Restricted Share Units — 266,667 contracts (Direct); Ordinary Shares — 973,085 shares (Direct); Ordinary Shares — 108,000 shares (Indirect, By spouse); Ordinary Shares — 12,320,000 shares (Indirect, By trust)

Footnotes (3)

F1. Reflects restricted share units that vested and settled into ordinary shares.
F2. Each restricted share unit represents a contingent right to receive one ordinary share. This amount represents the number of vested ordinary shares.
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 exercised: 13,333 units Shares acquired from RSUs: 13,333 ordinary shares Exercise price: $0.00 per share +4 more

7 metrics

RSUs exercised 13,333 units Restricted share units vested and settled on Apr 1, 2026

Shares acquired from RSUs 13,333 ordinary shares One ordinary share per restricted share unit vested

Exercise price $0.00 per share Conversion of restricted share units into ordinary shares

Direct ordinary shares after transaction 973,085 shares Wu Yongming direct holdings after Apr 1, 2026 transactions

Unvested RSUs outstanding 266,667 units Outstanding unvested portion of restricted share unit award after vesting

Spouse indirect holdings 108,000 shares Ordinary shares held indirectly by spouse

Trust indirect holdings 12,320,000 shares Ordinary shares held indirectly by trust

Key Terms

Restricted Share Units, Ordinary Shares, derivative exercise/conversion, By spouse, +2 more

6 terms

Ordinary Shares financial

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

Ordinary shares are a type of ownership stake in a company, giving shareholders a right to participate in the company’s profits and decision-making through voting. They are similar to owning a piece of a business, and their value can rise or fall based on the company's performance. Investors buy ordinary shares to potentially earn dividends and benefit from the company's growth over time.

derivative exercise/conversion financial

"transaction_action": "derivative exercise/conversion""

By spouse financial

"nature_of_ownership": "By spouse""

By trust financial

"nature_of_ownership": "By trust""

unvested portion financial

"Reflects the outstanding unvested portion of a restricted share unit award granted"

FAQ

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

What insider transaction did Alibaba (BABA) CEO Wu Yongming report?

Wu Yongming reported exercising 13,333 restricted share units into 13,333 ordinary shares at an exercise price of $0.00 per share. The event reflects equity compensation vesting, not an open-market purchase or sale of Alibaba shares.

How many Alibaba (BABA) shares does CEO Wu Yongming hold directly after this filing?

After the reported vesting, Wu Yongming directly holds 973,085 ordinary shares of Alibaba. In addition, he has 266,667 restricted share units outstanding and unvested that may convert into ordinary shares in future periods if vesting conditions are satisfied.

Did Alibaba (BABA) CEO Wu Yongming sell any shares in this Form 4?

The Form 4 does not report any open-market sales by Wu Yongming. It records the exercise of 13,333 restricted share units into ordinary shares and updates his direct and indirect holdings, reflecting compensation-related vesting rather than a discretionary sale.

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

Form 4 Insider Transactions: What Each Field Means →

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Accepted by SEC EDGAR 04/03/2026 - 06:44 AM

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)
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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Ordinary Shares	04/01/2026		M		13,333	A	⁽¹⁾	973,085	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Share Units	⁽²⁾	04/01/2026		M			13,333	⁽³⁾	⁽³⁾	Ordinary Shares⁽²⁾	13,333⁽²⁾	$0	266,667⁽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.

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

Source: View Original Filing on SEC EDGAR