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 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.
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.
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.
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.
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.
Alibaba Group Holding Limited submitted a Form 6-K to provide U.S. investors with its Hong Kong Stock Exchange Monthly Return for May 2026. As a Hong Kong–listed issuer, Alibaba must file this Monthly Return under Rule 13.25B of the Hong Kong Listing Rules, detailing movements in its authorized share capital and issued shares. The Form 6-K simply furnishes this Monthly Return as Exhibit 99.1.
Wu Yongming reported acquisition or exercise transactions in this Form 4 filing.
Alibaba Group Holding Ltd reported that Chief Executive Officer Wu Yongming received a grant of 448,000 Restricted Share Units (RSUs). Each RSU represents a contingent right to receive one ordinary share. The award reflects a new equity-based compensation grant rather than an open-market transaction.
The filing states that this RSU award will vest in sixteen equal quarterly installments starting on July 1, 2026, subject to the terms and conditions of the award agreement. After this grant, Wu holds 448,000 RSUs directly, providing long-term, stock-linked incentives tied to Alibaba’s future performance and service over the multi-year vesting period.
Alibaba Group Holding Ltd reported that Chief People Officer Jiang Fang received a grant of 60,000 Restricted Share Units (RSUs). Each RSU represents a contingent right to receive one ordinary share, so this award could convert into 60,000 ordinary shares over time.
The RSU grant vests in sixteen equal quarterly installments beginning on June 25, 2026, as long as the conditions in the award agreement are met. This is a compensation-related equity award, not an open‑market stock purchase or sale, and leaves Jiang Fang holding 60,000 unvested RSUs from this grant.
Jiang Fan (FJ) reported acquisition or exercise transactions in this Form 4 filing.
Alibaba Group Holding Ltd reported that Jiang Fan, CEO of a business group, received a grant of 248,000 restricted share units on May 29, 2026. Each unit represents one ordinary share at no purchase price. The award vests in 16 equal quarterly installments starting on June 25, 2026, and Jiang Fan holds 248,000 units after this grant.
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.