Welcome to our dedicated page for Alibaba Group Holding SEC filings (Ticker: BBAAY), 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 filings document foreign-issuer Form 6-K reports furnished in the United States alongside Hong Kong Stock Exchange disclosure materials. The filings include monthly returns and next-day disclosure returns covering authorized or registered share capital, issued shares, treasury shares, public float confirmations, and changes related to share awards or options under share schemes.
The company’s regulatory documents also disclose its Cayman-incorporated issuer status, Hong Kong ordinary-share listings under HKD and RMB counters, and U.S. American depositary shares listed under BABA, with each ADS representing eight ordinary shares. Governance disclosures describe the Alibaba Partnership director-nomination rights as a weighted voting rights structure under Hong Kong listing rules, while event reports include board-meeting and results-announcement notices.
Alibaba Group Holding Limited submitted a report as a foreign private issuer describing compliance with Hong Kong stock exchange disclosure rules. As a Hong Kong–listed issuer, the company must file a Next Day Disclosure Return whenever there are movements in its authorized, issued or treasury shares under Rule 13.25A of the Hong Kong Listing Rules. This report furnishes, as exhibits, Alibaba’s Next Day Disclosure Returns dated July 7, 2026, July 8, 2026, July 9, 2026 and July 10, 2026.
Alibaba Group Holding Limited submitted a Form 6-K as a foreign private issuer to the U.S. markets. The filing explains that, as a company listed on the Hong Kong Stock Exchange, Alibaba must provide a Monthly Return covering movements in its authorized share capital and issued shares under Rule 13.25B of the Hong Kong Listing Rules. The company furnished its Monthly Return for June 2026 as Exhibit 99.1 to this report.
Alibaba Group Holding Limited submitted a routine update as a foreign private issuer. The company furnished several Hong Kong Stock Exchange forms that report movements in its authorized issued shares or treasury shares, as required under Rule 13.25A of the Hong Kong Listing Rules.
The report explains that Alibaba files a "Next Day Disclosure Return" in Hong Kong whenever certain events affect its share capital. This submission attaches the Next Day Disclosure Returns dated June 29, 2026, June 30, 2026, July 2, 2026 and July 3, 2026 as exhibits to the Form 6-K.
Alibaba Group Holding Ltd director Joseph C. Tsai reported vesting of restricted share units that settled into ordinary shares. On Jul 1, 2026, RSU awards for 7,500 and 3,333 ordinary shares vested at a conversion price of $0.00 per share, increasing his direct holdings to 825,238 ordinary shares. He also reports indirect ownership of 113,539,168 ordinary shares through a corporation and 1,280,000 ordinary shares held by his spouse. Additional RSUs remain unvested and continue to vest in equal quarterly installments, subject to the terms of the underlying award agreements.
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.
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.
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.
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.
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.