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Alibaba Group Holding Ltd SEC Filings

BABA NYSE

Welcome to our dedicated page for Alibaba Group Holding 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.

Our SEC filing database is enhanced with expert analysis from Rhea-AI, providing insights into the potential impact of each filing on Alibaba Group Holding's stock performance. Each filing includes a concise AI-generated summary, sentiment and impact scores, and end-of-day stock performance data showing the actual market reaction. Navigate easily through different filing types including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, proxy statements (DEF 14A), and Form 4 insider trading disclosures.

Designed for fundamental investors and regulatory compliance professionals, our page simplifies access to critical SEC filings. By combining real-time EDGAR feed updates, Rhea-AI's analytical insights, and historical stock performance data, we provide comprehensive visibility into Alibaba Group Holding's regulatory disclosures and financial reporting.

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Tsai Joseph C reported acquisition or exercise transactions in this Form 4 filing.

Alibaba Group Holding Ltd director Joseph C. Tsai received a grant of 120,000 Restricted Share Units (RSUs) on ordinary shares. Each RSU represents a contingent right to receive one ordinary share.

The award consists of unvested RSUs that vest in sixteen equal quarterly installments starting on July 1, 2026, subject to the terms and conditions of the underlying award agreement. Following this grant, Tsai has 120,000 RSUs reported in this filing.

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Xu Hong reported acquisition or exercise transactions in this Form 4 filing.

Alibaba Group Holding Ltd reported that Chief Financial Officer Xu Hong received a grant of 160,000 Restricted Share Units (RSUs). Each RSU represents a contingent right to receive one ordinary share, making the award equivalent to 160,000 ordinary shares if fully vested.

The filing states that these RSUs are currently unvested and will vest in sixteen equal quarterly installments beginning on June 25, 2026, subject to the terms and conditions of the underlying award agreement. This is a compensation-related equity award rather than an open‑market share purchase or sale.

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Yu Siying reported acquisition or exercise transactions in this Form 4 filing.

Alibaba Group Holding Ltd reported that General Counsel Siying Yu received a grant of 120,000 restricted share units. Each unit represents a contingent right to receive one ordinary share. The award consists of unvested RSUs that are scheduled to vest in sixteen equal quarterly installments starting on June 25, 2026, subject to the terms and conditions of the award agreement. Following this grant, Yu holds 120,000 RSUs related to Alibaba ordinary shares as reflected in this filing.

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Alibaba Group Holding Limited granted Awards involving 61,716,712 underlying shares under its 2024 Equity Incentive Plan. These Awards represent approximately 0.32% of total shares in issue (excluding treasury shares) as of the announcement date and were granted to certain employees, subject to their acceptance.

The Awards have no purchase price and reference a closing share price of HK$120.90 on the May 29, 2026 grant date. They vest in batches over up to four years, with some vesting within 12 months, and selected grantees are subject to segment-level financial or operational performance targets. A detailed clawback mechanism allows Alibaba to void Awards and recover shares, cash, or proceeds in specified misconduct cases.

The Awards will be settled with new shares within the 2024 Plan mandate. After this grant, up to 337,752,620 shares remain available for future grants under the plan, including 93,716,369 shares under the service provider sub-limit.

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Alibaba Group Holding Limited is reminding shareholders about the logistics of its previously declared fiscal 2026 annual cash dividend. The dividend amounts remain US$0.13125 per ordinary share and US$1.05 per ADS, payable in U.S. dollars to holders of ordinary shares and ADSs.

Shareholders who acquired ordinary shares outside the Hong Kong Stock Exchange and are not yet on Alibaba’s share register must lodge transfer documents and share certificates with the Hong Kong or Cayman registrar by 4:30 p.m. on June 11, 2026 (Hong Kong time) to qualify. Conversion between ADSs and ordinary shares will be suspended from the close of business on June 9, 2026 to the close of business on June 11, 2026, New York time, although trading on the Hong Kong and New York exchanges will continue.

The expected dividend payment date is on or around July 6, 2026 for ordinary shareholders and on or around July 13, 2026 for ADS holders. Dividends on ADSs will be processed under the deposit agreement, including any applicable fees and expenses.

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Alibaba Group Holding Limited submitted a Form 6-K as a foreign private issuer to provide U.S. investors with information it is required to file in Hong Kong. As a company listed on the Hong Kong Stock Exchange, Alibaba must file a Next Day Disclosure Return when there are movements in its authorized, issued, or treasury shares under Rule 13.25A of the Hong Kong Listing Rules.

In this report, Alibaba furnishes its Next Day Disclosure Return dated May 19, 2026 as Exhibit 99.1. The filing is mainly an administrative cross-listing disclosure to mirror information provided to the Hong Kong Stock Exchange.

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Alibaba Group Holding Ltd executive Jiang Fan (CEO of a Business Group) filed an initial ownership report showing direct holdings of 540,027 ordinary shares. He also holds multiple restricted share unit awards that together are linked to several million ordinary shares, with vesting schedules stretching from 2024 to 2026 and beyond.

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Alibaba Group Holding Limited reports results for the year ended March 31, 2026 and outlines its strategy for the emerging AI agent era. Revenue from third parties reached RMB1,023,670 million (US$148,401 million), with net income attributable to ordinary shareholders of RMB105,904 million (US$15,353 million).

The company highlights rapid commercialization of its full‑stack AI and cloud platform. In the final quarter of fiscal 2026, external revenue for the Cloud Intelligence Group grew 40%, with AI‑related products contributing 30% of that external cloud revenue. Alibaba is scaling investments in proprietary T‑Head AI chips, its Qwen foundation models, and agentic platforms such as the Qwen personal assistant app and Wukong enterprise agent platform.

Alibaba explains that it is a Cayman Islands holding company and operates key China businesses through PRC variable interest entities (VIEs), which are controlled via contractual arrangements rather than equity ownership. It details Enhanced VIE Structures, cash flows between the parent, subsidiaries and VIEs, and notes VIE contracts have not been tested in PRC courts, creating legal and regulatory risk.

The report discusses PRC regulatory oversight of data, AI, competition and overseas listings, required licenses for its China operations, and potential impacts if permissions were lost or rules changed. It also addresses the U.S. Holding Foreign Companies Accountable Act, noting past PCAOB access issues but current inspection capability, while warning that renewed inspection limits could lead to delisting of ADSs from U.S. exchanges despite the company’s dual primary listings in New York and Hong Kong.

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Alibaba Group Holding Ltd filed a Form 13F reporting institutional holdings. The report lists $652,572,040 as the Form 13F Information Table Value Total and shows 2 reported holdings. The filing indicates 0 other included managers.

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Alibaba Group Holding Limited submitted a Form 6-K as a foreign private issuer, linking to an announcement filed with The Stock Exchange of Hong Kong Limited about its dividend for the year ended March 31, 2026. The filing itself is mainly administrative and points investors to the attached dividend announcement.

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FAQ

How many Alibaba Group Holding (BABA) SEC filings are available on StockTitan?

StockTitan tracks 102 SEC filings for Alibaba Group Holding (BABA), including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, and Form 4 insider trading disclosures. Each filing includes AI-generated summaries, impact scoring, and sentiment analysis.

When was the most recent SEC filing for Alibaba Group Holding (BABA)?

The most recent SEC filing for Alibaba Group Holding (BABA) was filed on June 2, 2026.