Welcome to our dedicated page for Alibaba Group Hldg SEC filings (Ticker: BABA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Alibaba Group Holding Limited (NYSE: BABA) files as a foreign private issuer with the U.S. Securities and Exchange Commission, and this page aggregates its SEC filings related to BABA American Depositary Shares. Alibaba uses Form 20-F as its annual reporting framework and furnishes current information on Form 6-K, often attaching documents that it is required to submit to the Hong Kong Stock Exchange.
Recent Form 6-K filings include monthly returns on movements in authorized share capital and issued shares, next day disclosure returns for share changes, interim reports for the fiscal year, and announcements of quarterly and interim results such as the September quarter and six-month interim results. The company also files announcements related to grants of awards under share plans, dates of board meetings, and other regulatory communications.
For investors analyzing BABA, these filings provide access to detailed financial statements, segment breakdowns for Alibaba China E-commerce Group, Alibaba International Digital Commerce Group, Cloud Intelligence Group and other businesses, as well as information on share repurchase activity and capital structure changes. Filings also reference registration statements such as Form F-4 used in connection with exchange offers for senior notes.
Through this page, users can review Alibaba’s SEC-disclosed materials alongside AI-powered summaries that highlight key points from lengthy documents. This includes explanations of interim reports, quarterly result announcements and exhibits furnished from Hong Kong regulatory filings. Real-time updates from EDGAR ensure that new 6-K submissions, annual reports and other relevant documents for BABA are quickly accessible, helping users understand how Alibaba reports its e-commerce, cloud computing and financing activities to regulators and investors.
Alibaba Group Holding Ltd president J. Michael Evans has filed an initial Form 3 showing his equity awards in the company. He reports several unvested restricted share unit awards granted in the form of ADSs, representing underlying ordinary shares of 12,000, 80,000, 640,000 and 32,000 ordinary shares, each tied to specific multi‑year vesting schedules beginning between April 1, 2023 and April 1, 2025. He also reports option awards in ADS form over 8,000,000 and 1,200,000 ordinary shares, with exercise prices of US$79.96 and US$84.60 per ADS and expirations on July 31, 2027 and May 13, 2032. Each restricted unit represents one ADS, and each ADS represents eight ordinary shares, so these figures reflect the ordinary shares underlying his awards.
Alibaba Group Holding Ltd General Counsel Yu Siying filed an initial ownership report showing her equity stake in the company. The filing lists direct holdings of 574,365 ordinary shares and an additional 3,809,664 ordinary shares held indirectly by a trust.
The report also details several unvested restricted share unit (RSU) awards. These RSUs relate to underlying ordinary shares in amounts of 25,336, 11,200, 42,672, 56,672, and 56,000 shares, vesting over multi-year schedules starting between Apr 1, 2021 and Jul 1, 2025 under their respective award agreements.
Alibaba Group Holding Ltd Chief Financial Officer Xu Hong filed an initial ownership report on Form 3. The filing lists multiple unvested restricted share unit (RSU) awards tied to Alibaba ordinary shares, some granted in the form of American Depositary Shares (ADSs) and others in ordinary shares.
Each RSU represents a contingent right to receive either one ADS, with each ADS representing 8 ordinary shares, or one ordinary share, depending on the award. The RSUs vest over multi‑year schedules, including annual and quarterly installments beginning on Apr 1, 2023, Apr 1, 2024, Jul 1, 2024, Aug 14, 2025, Jul 1, 2025 and Sep 25, 2026, subject to the terms and conditions of the underlying award agreements. The filing also shows 657,570 ordinary shares held indirectly by a trust.
Alibaba Group Holding Ltd’s Chief People Officer, Jiang Fang, has filed an initial statement of ownership showing a substantial equity position. She holds 5,534,168 Ordinary Shares directly and an additional 23,116,864 Ordinary Shares indirectly through a trust. The filing also lists several outstanding unvested restricted share unit awards over Ordinary Shares, including blocks such as 56,000, 42,672, 31,600, and others that vest in scheduled annual or quarterly installments starting between 2021 and 2025. In addition, she holds an option over 160,000 Ordinary Shares expiring on February 24, 2031 with an exercise price of HK$68 (approximately US$8.72) per ordinary share. Some awards were granted in the form of ADSs, where each ADS represents 8 ordinary shares, and each restricted share unit gives a contingent right to receive one ADS or one ordinary share, as applicable.
Alibaba Group Holding Ltd director Maggie Wei Wu has filed an initial Form 3 reporting her equity holdings in the company. She directly holds 3,613,352 ordinary shares and indirectly holds 7,200,000 ordinary shares through a trust.
She also has unvested restricted share unit awards granted in the form of American Depositary Shares. One award covers 33,344 ordinary shares and vests in six equal annual installments beginning on Apr 1, 2021, and another covers 14,936 ordinary shares vesting in six equal annual installments beginning on Apr 1, 2022, subject to the terms of the underlying award agreements.
Alibaba Group Holding Ltd director and Chief Executive Officer Wu Yongming filed an initial Form 3 detailing his existing equity interests in the company. He reports direct ownership of 959,752 Ordinary Shares, plus indirect holdings of 108,000 Ordinary Shares held by his spouse and 12,320,000 Ordinary Shares held by a trust.
Wu also holds restricted share units that can convert into 960,000 and 280,000 Ordinary Shares under long-term vesting schedules. In addition, he has option awards over 16,000,000 Ordinary Shares tied to ADSs with an exercise price of US$78.37 per ADS expiring on November 25, 2033, and options over 12,000,000 and 12,000,000 Ordinary Shares with exercise prices of HK$116.70 (approximately US$14.96) and HK$152.69 (approximately US$19.58) per share, expiring on November 26, 2035. This filing records his current share, RSU and option positions rather than new market transactions.
Alibaba Group Holding Ltd director Joseph C. Tsai filed an initial ownership report showing his equity stake in the company. The filing lists 70,000 restricted share units, each representing one ordinary share, that vest in twenty-four equal quarterly installments beginning on Jul 1, 2025, subject to the award terms.
He also reports 811,072 ordinary shares held directly, 1,280,000 ordinary shares held indirectly through his spouse, and 113,539,168 ordinary shares held indirectly through a corporation. This Form 3 does not reflect new purchases or sales, but rather his existing holdings as he becomes a reporting insider.
Alibaba Group Holding Ltd director Irene Yun-Lien Lee filed an initial ownership report showing she directly holds 138,600 Ordinary Shares of Alibaba. The filing does not show any recent share purchases or sales; it simply records her existing direct ownership position.
Alibaba Group Holding Ltd director Ng Kong Ping Albert reported ownership of 133,600 Ordinary Shares. The shares are held directly, and the filing does not show any recent purchases, sales, or option exercises, but instead reflects his reported beneficial stake in the company’s equity.
Alibaba Group Holding Ltd director Shan Weijian filed an initial ownership report showing his stake in the company. The filing lists direct ownership of 144,800 Ordinary Shares of Alibaba following the reported entry. This Form 3 does not reflect a new purchase or sale, but establishes his current shareholdings as a company insider.