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Alibaba (NYSE: BABA) CEO exercises 41,333 RSUs, holds 1,014,418 shares

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

Rhea-AI Filing Summary

Alibaba Group Holding Ltd Chief Executive Officer Wu Yongming reported routine equity compensation activity. On Jul 1, 2026, restricted share units vested and were settled into 41,333 ordinary shares, recorded as exercises of derivative securities rather than open-market purchases.

Following these transactions, Wu held 1,014,418 ordinary shares directly, with additional indirect holdings of 12,320,000 ordinary shares by trust and 108,000 ordinary shares by his spouse. The filing also shows remaining unvested restricted share unit awards that continue to vest in quarterly installments, with vesting reported as of Jul 1, 2026.

Positive

  • None.

Negative

  • None.
Insider Wu Yongming
Role Chief Executive Officer
Type Security Shares Price Value
Exercise Restricted Share Units 13,333 $0.00 --
Exercise Restricted Share Units 28,000 $0.00 --
Exercise Ordinary Shares 13,333 $0.00 --
Exercise Ordinary Shares 28,000 $0.00 --
holding Ordinary Shares -- -- --
holding Ordinary Shares -- -- --
Holdings After Transaction: Restricted Share Units — 253,334 shares (Direct, null); Ordinary Shares — 986,418 shares (Direct, null); Ordinary Shares — 108,000 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.
RSUs exercised into shares 41,333 ordinary shares Restricted share units vested and settled on Jul 1, 2026
Direct ordinary shares after transaction 1,014,418 shares Direct holdings of Wu Yongming following Jul 1, 2026 vesting
Indirect shares by trust 12,320,000 shares Ordinary shares reported as indirectly owned by trust
Indirect shares by spouse 108,000 shares Ordinary shares reported as indirectly owned by spouse
Unvested RSU award 1 420,000 units Outstanding unvested RSUs vesting in 24 quarterly installments from Jul 1, 2025
Unvested RSU award 2 253,334 units Outstanding unvested RSUs vesting in 16 quarterly installments from Jul 1, 2026
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 ownership financial
"ownership_type": "indirect""
nature of ownership: By trust financial
"nature_of_ownership": "By trust""
vesting in equal quarterly installments financial
"vests in twenty-four equal quarterly installments beginning on Jul 1, 2025"
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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*
Wu Yongming
(Last)(First)(Middle)
26/F TOWER ONE, TIMES SQUARE
1 MATHESON STREET, CAUSEWAY BAY
(Street)
HONG 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)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
Chief Executive Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
07/01/2026		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
Ordinary Shares07/01/2026M13,333A(1)986,418D
Ordinary Shares07/01/2026M28,000A(1)1,014,418D
Ordinary Shares108,000IBy spouse
Ordinary Shares12,320,000IBy 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Share Units(2)07/01/2026M13,333 (3) (3)Ordinary Shares(2)13,333(2)$0253,334(3)D
Restricted Share Units(2)07/01/2026M28,000 (4) (4)Ordinary Shares(2)28,000(2)$0420,000(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 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.
/s/ Kevin Jinwei Zhang, as Attorney-in-Fact for Eddie Yongming Wu07/06/2026
** 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 insider activity did Alibaba (BABA) report for CEO Wu Yongming?

Alibaba reported that CEO Wu Yongming had restricted share units vest into 41,333 ordinary shares on Jul 1, 2026. These are equity compensation exercises, not open-market stock purchases or sales.

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

After the reported vesting and exercises, CEO Wu Yongming directly holds 1,014,418 Alibaba ordinary shares. This direct position reflects his equity stake excluding additional indirect holdings through a trust and his spouse.

What do the restricted share unit (RSU) vestings mean in Alibaba’s Form 4?

The filing explains that each restricted share unit represents a right to receive one ordinary share. On Jul 1, 2026, a portion vested and settled into 41,333 ordinary shares, reflecting routine compensation rather than trading in the open market.

Does Alibaba’s CEO Form 4 show any stock sales or open-market buying?

The Form 4 does not show any open-market share purchases or sales by CEO Wu Yongming. Reported transactions are exercises of restricted share units that vested into ordinary shares as part of his compensation.

What ongoing Alibaba RSU awards for Wu Yongming are described in the footnotes?

Footnotes describe unvested RSU awards that vest in equal quarterly installments beginning on Jul 1, 2025 and Jul 1, 2026. The vesting reported in this Form 4 reflects the portions that vested as of Jul 1, 2026.