Joseph Tsai (BABA) boosts Alibaba holdings as RSUs vest into 10,833 shares

Rhea-AI Filing Summary

Alibaba Group Holding Ltd director Joseph C. Tsai reported vesting of restricted share units that settled into ordinary shares. On Jul 1, 2026, RSU awards for 7,500 and 3,333 ordinary shares vested at a conversion price of $0.00 per share, increasing his direct holdings to 825,238 ordinary shares. He also reports indirect ownership of 113,539,168 ordinary shares through a corporation and 1,280,000 ordinary shares held by his spouse. Additional RSUs remain unvested and continue to vest in equal quarterly installments, subject to the terms of the underlying award agreements.

Insights

Equity compensation analyst

Routine RSU vesting increases Tsai’s direct Alibaba shareholdings without any open‑market sales.

The filing shows Joseph C. Tsai had restricted share units convert into 10,833 Alibaba ordinary shares at a $0.00 conversion price. Footnotes clarify these RSUs simply vested and settled, a standard equity compensation mechanism rather than an open‑market purchase.

After the transactions, Tsai directly holds 825,238 ordinary shares and retains substantial indirect stakes: 113,539,168 shares via a corporation and 1,280,000 via his spouse. He also continues to hold unvested RSUs that vest in regular quarterly installments starting on Jul 1, 2025 and Jul 1, 2026, subject to award terms.

No sales, tax withholdings, or 10b5‑1 trading plan references appear in the excerpt, so the economic effect is a modest, compensation-driven increase in his direct exposure to Alibaba shares, with no indication of discretionary buying or selling in the market.

Insider Trade Summary

10,833 shares exercised/converted

Mixed 6 txns

Insider Tsai Joseph C

Role null

Type	Security	Shares	Price	Value
Exercise	Restricted Share Units	3,333	$0.00	--
Exercise	Restricted Share Units	7,500	$0.00	--
Exercise	Ordinary Shares	3,333	$0.00	--
Exercise	Ordinary Shares	7,500	$0.00	--
holding	Ordinary Shares	--	--	--
holding	Ordinary Shares	--	--	--

Holdings After Transaction: Restricted Share Units — 63,334 shares (Direct, null); Ordinary Shares — 817,738 shares (Direct, null); Ordinary Shares — 1,280,000 shares (Indirect, By spouse)

Footnotes (1)

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

Key Figures

RSUs vested into shares: 7,500 shares Additional RSUs vested into shares: 3,333 shares Direct ordinary shares after transactions: 825,238 shares +5 more

8 metrics

RSUs vested into shares 7,500 shares Restricted Share Units converting into ordinary shares on Jul 1, 2026

Additional RSUs vested into shares 3,333 shares Restricted Share Units converting into ordinary shares on Jul 1, 2026

Direct ordinary shares after transactions 825,238 shares Direct Alibaba holdings following RSU vesting

Indirect corporate holdings 113,539,168 shares Ordinary shares held indirectly by corporation

Indirect spouse holdings 1,280,000 shares Ordinary shares held indirectly by spouse

Unvested RSUs award 1 112,500 units Outstanding unvested RSUs after 7,500 vested

Unvested RSUs award 2 63,334 units Outstanding unvested RSUs after 3,333 vested

Exercise/conversion price $0.00 per share RSUs converting into ordinary shares

Key Terms

Restricted Share Units, derivative exercise/conversion, indirect, nature of ownership, +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 exercise/conversion financial

"transaction_action": "derivative exercise/conversion""

indirect financial

""ownership_type": "indirect""

nature of ownership financial

""nature_of_ownership": "By corporation""

vesting financial

"The vesting reported herein was as of Jul 1, 2026."

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/06/2026 - 06:04 AM Accepted by SEC EDGAR 07/06/2026 - 06:03 AM Learn about SEC filing dates

FAQ

What did Alibaba (BABA) director Joseph C. Tsai report in this Form 4?

Joseph C. Tsai reported vesting of restricted share units that converted into Alibaba ordinary shares. These RSUs settled into stock at a zero conversion price, modestly increasing his directly held share count while leaving his large indirect ownership positions unchanged.

How many Alibaba (BABA) shares did Joseph C. Tsai acquire through RSU vesting?

Tsai had restricted share units for 7,500 and 3,333 ordinary shares vest, totaling 10,833 shares. Footnotes explain each RSU represents a right to one ordinary share, and the reported amounts reflect the number of vested ordinary shares delivered on the vesting date.

What are Joseph C. Tsai’s direct Alibaba (BABA) share holdings after this filing?

Following the RSU vesting transactions, Tsai directly holds 825,238 Alibaba ordinary shares. This figure reflects his post-transaction direct ownership and excludes large indirect holdings reported separately through a corporation and his spouse in the same Form 4 filing.

What indirect Alibaba (BABA) ownership does Joseph C. Tsai report?

Tsai reports indirect ownership of 113,539,168 Alibaba ordinary shares held by a corporation and 1,280,000 ordinary shares held by his spouse. These positions are classified as indirect because they are owned through related entities or family, not in his personal name directly.

Were there any Alibaba (BABA) share sales or gifts disclosed in this Form 4?

The transactions described are coded as derivative exercises (M) and involve RSUs vesting into ordinary shares. The summary data show no reported sales, gifts, or tax withholding dispositions, indicating no open-market disposals associated with these specific vesting events.

How do Joseph C. Tsai’s Alibaba (BABA) RSUs vest over time?

Footnotes state one RSU award vests in 24 equal quarterly installments beginning July 1, 2025, and another in 16 equal quarterly installments beginning July 1, 2026. Vesting on July 1, 2026 is reported here, with remaining unvested portions continuing on the disclosed schedules.

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

(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)
07/01/2026

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	07/01/2026		M		3,333	A	(1)	817,738	D
Ordinary Shares	07/01/2026		M		7,500	A	(1)	825,238	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)	07/01/2026		M			3,333	(3)	(3)	Ordinary Shares(2)	3,333(2)	$0	63,334(3)	D
Restricted Share Units	(2)	07/01/2026		M			7,500	(4)	(4)	Ordinary Shares(2)	7,500(2)	$0	112,500(4)	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 theunderlying award agreement. The vesting reported herein was as of Jul 1, 2026.

4. 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 Jul 1, 2026, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Jul 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	07/06/2026
	** 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)