Alibaba director Tsai acquires 3,334 and 7,500 shares

The director's awards vest in 24 and 16 equal quarterly installments, beginning July 1, 2025, and July 1, 2026, respectively.

Rhea-AI Filing Summary

Alibaba Group Holding Ltd director Joseph C. Tsai reported two restricted share unit vestings on October 1, 2026: 3,334 and 7,500 units were disposed of as they vested, with corresponding ordinary shares acquired. The related awards vest in 24 and 16 equal quarterly installments, respectively. The report also lists indirect holdings of 1,280,000 ordinary shares by spouse and 114,979,168 by a corporation.

Insider Trade Summary

10,834 shares exercised/converted

Exercise 6 txns

Insider Tsai Joseph C

Role Director

Type	Security	Shares	Price	Value
Exercise	Restricted Share Units F2, F3	3,334	$0.00	$0.00
Exercise	Restricted Share Units F2, F4	7,500	$0.00	$0.00
Exercise	Ordinary Shares F1	3,334	--	--
Exercise	Ordinary Shares F1	7,500	--	--
holding	Ordinary Shares	--	--	--
holding	Ordinary Shares	--	--	--

Holdings After Transaction: Restricted Share Units — 165,000 contracts (Direct); Ordinary Shares — 836,072 shares (Direct); Ordinary Shares — 1,280,000 shares (Indirect, By spouse); Ordinary Shares — 114,979,168 shares (Indirect, By corporation)

Footnotes (4)

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 Oct 1, 2026.
4. F4. 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 Oct 1, 2026.

Key Figures

Restricted share units vested, first award: 3,334 units Ordinary shares acquired, first award: 3,334 shares Restricted share units vested, second award: 7,500 units +3 more

6 metrics

Restricted share units vested, first award 3,334 units October 1, 2026

Ordinary shares acquired, first award 3,334 shares October 1, 2026

Restricted share units vested, second award 7,500 units October 1, 2026

Ordinary shares acquired, second award 7,500 shares October 1, 2026

Indirect ordinary shares held by spouse 1,280,000 shares Holding entry

Indirect ordinary shares held by corporation 114,979,168 shares Holding entry

Key Terms

Restricted Share Units, contingent right, equal quarterly installments

3 terms

Restricted Share Units financial

"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.

contingent right financial

"a contingent right to receive one ordinary share"

equal quarterly installments financial

"vests in twenty-four equal quarterly installments"

FAQ

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

How many Alibaba (BABA) shares did director Joseph C. Tsai acquire?

Joseph C. Tsai acquired 3,334 and 7,500 ordinary shares on October 1, 2026, as corresponding restricted share units vested and settled. Each restricted share unit represents a contingent right to receive one ordinary share.

What are the vesting schedules for Joseph C. Tsai's Alibaba RSU awards?

One award vests in 24 equal quarterly installments beginning July 1, 2025; the other vests in 16 equal quarterly installments beginning July 1, 2026. The reported vesting was as of October 1, 2026.

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

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Available on EDGAR 10/05/2026 - 06:03 AM Accepted by SEC EDGAR 10/05/2026 - 06:03 AM 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

(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)
10/01/2026

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	10/01/2026		M		3,334	A	(1)	828,572	D
Ordinary Shares	10/01/2026		M		7,500	A	(1)	836,072	D
Ordinary Shares								1,280,000	I	By spouse
Ordinary Shares								114,979,168	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)	10/01/2026		M			3,334	(3)	(3)	Ordinary Shares(2)	3,334(2)	$0	60,000(3)	D
Restricted Share Units	(2)	10/01/2026		M			7,500	(4)	(4)	Ordinary Shares(2)	7,500(2)	$0	105,000(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 the underlying award agreement. The vesting reported herein was as of Oct 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 Oct 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	10/05/2026
	** 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)