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 filings document foreign-issuer current reports for an ADR company with ordinary shares listed on the Hong Kong Stock Exchange. Form 6-K materials include earnings releases, board-meeting and results announcements, monthly returns on authorized share capital and issued shares, and next day disclosure returns for changes in issued shares or treasury shares.
The filings also describe the company’s security and governance structure, including American depositary shares that each represent eight ordinary shares, one vote per ordinary share, and Alibaba Partnership director-nomination rights categorized as a weighted voting rights structure under Hong Kong Listing Rules. Other regulatory materials address material events, capital-structure matters, debt securities, shareholder voting matters and risk/governance disclosures.
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.
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.
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.
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.
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.
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.