Alibaba CEO Wu Yongming exercises 41,333 RSUs

Alibaba Group Holding Ltd Chief Executive Officer Wu Yongming reported routine equity compensation activity.

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.

Insider Trade Summary

41,333 shares exercised/converted

Exercise 6 txns

Insider Wu Yongming

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Share Units	13,333	$0.00	$0.00
Exercise	Restricted Share Units	28,000	$0.00	$0.00
Exercise	Ordinary Shares	13,333	$0.00	$0.00
Exercise	Ordinary Shares	28,000	$0.00	$0.00
holding	Ordinary Shares	--	--	--
holding	Ordinary Shares	--	--	--

Holdings After Transaction: Restricted Share Units — 673,334 contracts (Direct); Ordinary Shares — 1,014,418 shares (Direct); Ordinary Shares — 108,000 shares (Indirect, By spouse); Ordinary Shares — 12,320,000 shares (Indirect, By trust)

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 theunderlying award agreement. The vesting reported herein was as of Jul 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 Jul 1, 2026.

Key Figures

RSUs exercised into shares: 41,333 ordinary shares Direct ordinary shares after transaction: 1,014,418 shares Indirect shares by trust: 12,320,000 shares +3 more

6 metrics

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

Key Terms

restricted share units, derivative exercise/conversion, indirect ownership, nature of ownership: By trust, +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 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"

FAQ

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

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 indirect Alibaba (BABA) holdings related to CEO Wu Yongming are disclosed?

The Form 4 shows 12,320,000 ordinary shares held by a trust and 108,000 ordinary shares held by his spouse. These positions are reported as indirect ownership interests associated with Wu Yongming.

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.

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 07/06/2026 - 06:02 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^*

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)
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		13,333	A	(1)	986,418	D
Ordinary Shares	07/01/2026		M		28,000	A	(1)	1,014,418	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)	07/01/2026		M			13,333	(3)	(3)	Ordinary Shares(2)	13,333(2)	$0	253,334(3)	D
Restricted Share Units	(2)	07/01/2026		M			28,000	(4)	(4)	Ordinary Shares(2)	28,000(2)	$0	420,000(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 Wu	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)