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Alibaba Group SEC Filings

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Welcome to our dedicated page for Alibaba Group SEC filings (Ticker: BABAF), 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'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's regulatory disclosures and financial reporting.

Rhea-AI Summary

Alibaba Group Holding Ltd president J. Michael Evans sold 720,000 Ordinary Shares in two open-market transactions. The sales occurred on June 29, 2026 at weighted average prices of $95.59 for 27,008 shares and $94.92 for 692,992 shares, in ranges from $94.455 to $95.905 per share. These transactions were conducted through a broker-dealer pursuant to Rule 144 under the Securities Act. Following the sales, Evans directly owns 55,008 Ordinary Shares of Alibaba.

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Rhea-AI Summary

Alibaba Group Holding Ltd president J. Michael Evans sold 720,000 Ordinary Shares in two open-market transactions. The sales occurred on June 29, 2026 at weighted average prices of $95.59 for 27,008 shares and $94.92 for 692,992 shares, in ranges from $94.455 to $95.905 per share. These transactions were conducted through a broker-dealer pursuant to Rule 144 under the Securities Act. Following the sales, Evans directly owns 55,008 Ordinary Shares of Alibaba.

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Rhea-AI Summary

Alibaba Group Holding Ltd executive Jiang Fan, CEO of a business group, reported routine equity compensation activity tied to restricted share units vesting on June 25, 2026. Several RSU awards vested and settled into American Depositary Shares and ordinary shares, increasing his direct share ownership.

To cover related tax withholding obligations under Alibaba’s equity plan, 13,579 ordinary shares were sold in the Hong Kong market at a weighted average price of $12.10 per share, based on prices between HK$94.00 and HK$95.00. Following these transactions, Jiang Fan directly holds 547,363 ordinary shares.

The filing also shows continuing unvested RSU positions, including 232,500 restricted share units in the form of ADS-based awards and 110,000 restricted share units in ordinary-share awards, scheduled to vest in equal quarterly installments under existing award agreements.

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Rhea-AI Summary

Alibaba Group Holding Ltd executive Jiang Fan, CEO of a business group, reported routine equity compensation activity tied to restricted share units vesting on June 25, 2026. Several RSU awards vested and settled into American Depositary Shares and ordinary shares, increasing his direct share ownership.

To cover related tax withholding obligations under Alibaba’s equity plan, 13,579 ordinary shares were sold in the Hong Kong market at a weighted average price of $12.10 per share, based on prices between HK$94.00 and HK$95.00. Following these transactions, Jiang Fan directly holds 547,363 ordinary shares.

The filing also shows continuing unvested RSU positions, including 232,500 restricted share units in the form of ADS-based awards and 110,000 restricted share units in ordinary-share awards, scheduled to vest in equal quarterly installments under existing award agreements.

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Alibaba Group Holding Ltd Chief Financial Officer Xu Hong reported compensation-related equity activity and a related share sale. Restricted share units vested and were settled into American Depositary Shares and ordinary shares, resulting in the acquisition of ordinary shares underlying 389,000 vested units. To satisfy tax withholding obligations from this vesting, 175,054 ordinary shares were sold in open-market transactions in Hong Kong at a weighted average price of $12.15 per share. Following these transactions, Xu Hong holds 280,496 ordinary shares directly and 657,570 ordinary shares indirectly through a trust.

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Alibaba Group Holding Ltd Chief Financial Officer Xu Hong reported compensation-related equity activity and a related share sale. Restricted share units vested and were settled into American Depositary Shares and ordinary shares, resulting in the acquisition of ordinary shares underlying 389,000 vested units. To satisfy tax withholding obligations from this vesting, 175,054 ordinary shares were sold in open-market transactions in Hong Kong at a weighted average price of $12.15 per share. Following these transactions, Xu Hong holds 280,496 ordinary shares directly and 657,570 ordinary shares indirectly through a trust.

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Alibaba Group Holding Ltd’s General Counsel Yu Siying reported a mix of equity vesting and related share sales. On Jun 25, 2026, restricted share units vested and were settled into ordinary shares and American Depositary Shares, resulting in the acquisition of 13,502 ordinary shares through derivative exercises.

To cover tax withholding obligations tied to this vesting, 6,772 ordinary shares were sold in the Hong Kong market at a weighted average price of $12.10 per share, based on prices originally denominated in Hong Kong dollars. After these transactions, Yu holds 607,234 ordinary shares directly and 3,809,664 ordinary shares indirectly through a trust, indicating that the reported activity reflects compensation-related vesting with a tax-driven sale rather than a discretionary reduction in overall ownership.

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Rhea-AI Summary

Alibaba Group Holding Ltd’s General Counsel Yu Siying reported a mix of equity vesting and related share sales. On Jun 25, 2026, restricted share units vested and were settled into ordinary shares and American Depositary Shares, resulting in the acquisition of 13,502 ordinary shares through derivative exercises.

To cover tax withholding obligations tied to this vesting, 6,772 ordinary shares were sold in the Hong Kong market at a weighted average price of $12.10 per share, based on prices originally denominated in Hong Kong dollars. After these transactions, Yu holds 607,234 ordinary shares directly and 3,809,664 ordinary shares indirectly through a trust, indicating that the reported activity reflects compensation-related vesting with a tax-driven sale rather than a discretionary reduction in overall ownership.

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Alibaba Group Holding Ltd’s Chief People Officer Jiang Fang reported compensation-related share activity tied to restricted share units vesting on Jun 25, 2026. Several RSU awards vested and settled into American Depositary Shares and ordinary shares, adding a total of 9,756 ordinary shares from derivative exercises.

To cover tax withholding obligations from this vesting, 4,898 ordinary shares were withheld and sold on the Hong Kong market at a weighted average price of $12.09 per share, based on prices in Hong Kong dollars converted at HK$7.8464 to US$1.00. After these transactions, Jiang Fang directly owns 5,559,511 ordinary shares and indirectly holds 23,116,864 ordinary shares through a trust.

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Rhea-AI Summary

Alibaba Group Holding Ltd’s Chief People Officer Jiang Fang reported compensation-related share activity tied to restricted share units vesting on Jun 25, 2026. Several RSU awards vested and settled into American Depositary Shares and ordinary shares, adding a total of 9,756 ordinary shares from derivative exercises.

To cover tax withholding obligations from this vesting, 4,898 ordinary shares were withheld and sold on the Hong Kong market at a weighted average price of $12.09 per share, based on prices in Hong Kong dollars converted at HK$7.8464 to US$1.00. After these transactions, Jiang Fang directly owns 5,559,511 ordinary shares and indirectly holds 23,116,864 ordinary shares through a trust.

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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 has filed in Hong Kong about recent share capital changes. As a company listed on the Hong Kong Stock Exchange, Alibaba must file a Next Day Disclosure Return whenever there are movements in its authorized issued shares or treasury shares in connection with certain events.

This Form 6-K furnishes four such Hong Kong Next Day Disclosure Returns as exhibits, dated June 23, June 24, June 25 and June 26, 2026, giving investors access to details of those share movements through the attached documents.

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Rhea-AI Summary

Alibaba Group Holding Limited submitted a Form 6-K as a foreign private issuer to provide U.S. investors with information it has filed in Hong Kong about recent share capital changes. As a company listed on the Hong Kong Stock Exchange, Alibaba must file a Next Day Disclosure Return whenever there are movements in its authorized issued shares or treasury shares in connection with certain events.

This Form 6-K furnishes four such Hong Kong Next Day Disclosure Returns as exhibits, dated June 23, June 24, June 25 and June 26, 2026, giving investors access to details of those share movements through the attached documents.

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Alibaba Group Holding Limited reported adjustments to the conversion terms of its 2031 and 2032 convertible senior notes after declaring a 2026 annual cash dividend of US$0.13125 per ordinary share, or US$1.05 per ADS.

For the 2031 notes, the conversion rate increased from 9.8915 to 9.9823 ADSs per US$1,000 principal amount, and the maximum conversion rate rose from 12.8589 to 12.9770 ADSs. The maximum number of ordinary shares issuable upon full conversion increased from 514,360,000 to 519,056,000.

For the 2032 zero coupon notes, the conversion rate increased from 5.1773 to 5.2248 ADSs per US$1,000 principal amount, and the maximum conversion rate rose from 6.7953 to 6.8577 ADSs. The ordinary shares issuable upon full conversion under the adjusted initial conversion rate rose from 131,213,488 to 132,417,328. Alibaba plans to seek Hong Kong Stock Exchange listing approval for these additional ordinary shares, while all other note terms remain unchanged.

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Rhea-AI Summary

Alibaba Group Holding Limited reported adjustments to the conversion terms of its 2031 and 2032 convertible senior notes after declaring a 2026 annual cash dividend of US$0.13125 per ordinary share, or US$1.05 per ADS.

For the 2031 notes, the conversion rate increased from 9.8915 to 9.9823 ADSs per US$1,000 principal amount, and the maximum conversion rate rose from 12.8589 to 12.9770 ADSs. The maximum number of ordinary shares issuable upon full conversion increased from 514,360,000 to 519,056,000.

For the 2032 zero coupon notes, the conversion rate increased from 5.1773 to 5.2248 ADSs per US$1,000 principal amount, and the maximum conversion rate rose from 6.7953 to 6.8577 ADSs. The ordinary shares issuable upon full conversion under the adjusted initial conversion rate rose from 131,213,488 to 132,417,328. Alibaba plans to seek Hong Kong Stock Exchange listing approval for these additional ordinary shares, while all other note terms remain unchanged.

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Alibaba Group Holding Limited has submitted a Form 6-K as a foreign private issuer to the U.S. regulator. The filing mainly serves to furnish its Hong Kong Annual Report and its Environmental, Social and Governance (ESG) Report for the fiscal year ended March 31, 2026. These reports are required under the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited. The Annual Report is attached as Exhibit 99.1 and the ESG Report as Exhibit 99.2, providing U.S. investors access to the same annual and sustainability disclosures prepared for the Hong Kong market.

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Rhea-AI Summary

Alibaba Group Holding Limited has submitted a Form 6-K as a foreign private issuer to the U.S. regulator. The filing mainly serves to furnish its Hong Kong Annual Report and its Environmental, Social and Governance (ESG) Report for the fiscal year ended March 31, 2026. These reports are required under the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited. The Annual Report is attached as Exhibit 99.1 and the ESG Report as Exhibit 99.2, providing U.S. investors access to the same annual and sustainability disclosures prepared for the Hong Kong market.

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Alibaba Group Holding Limited reported that the U.S. Department of Defense has added Alibaba to its list of Chinese Military Companies, known as the CMC List. This listing bars the Department of Defense from directly or indirectly procuring goods, services or technology from Alibaba.

The company strongly rejects the designation, stating it is not a Chinese military company and is not part of any military-civil fusion strategy. Alibaba plans to pursue all available legal actions against attempts to misrepresent the company.

Alibaba explains that inclusion on the CMC List does not affect its ability to conduct business as usual in the United States or globally because it does not engage in U.S. military procurement. The company notes that the CMC List does not impose other export controls or sanctions, and it does not prevent parties other than the Department of Defense from doing business with the group or transacting in its securities. Alibaba indicates it will issue further announcements when appropriate.

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Rhea-AI Summary

Alibaba Group Holding Limited reported that the U.S. Department of Defense has added Alibaba to its list of Chinese Military Companies, known as the CMC List. This listing bars the Department of Defense from directly or indirectly procuring goods, services or technology from Alibaba.

The company strongly rejects the designation, stating it is not a Chinese military company and is not part of any military-civil fusion strategy. Alibaba plans to pursue all available legal actions against attempts to misrepresent the company.

Alibaba explains that inclusion on the CMC List does not affect its ability to conduct business as usual in the United States or globally because it does not engage in U.S. military procurement. The company notes that the CMC List does not impose other export controls or sanctions, and it does not prevent parties other than the Department of Defense from doing business with the group or transacting in its securities. Alibaba indicates it will issue further announcements when appropriate.

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FAQ

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

StockTitan tracks 100 SEC filings for Alibaba Group (BABAF), 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 (BABAF)?

The most recent SEC filing for Alibaba Group (BABAF) was filed on July 1, 2026.