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 (NYSE: BABA) files as a foreign private issuer with the U.S. Securities and Exchange Commission, and this page aggregates its SEC filings related to BABA American Depositary Shares. Alibaba uses Form 20-F as its annual reporting framework and furnishes current information on Form 6-K, often attaching documents that it is required to submit to the Hong Kong Stock Exchange.
Recent Form 6-K filings include monthly returns on movements in authorized share capital and issued shares, next day disclosure returns for share changes, interim reports for the fiscal year, and announcements of quarterly and interim results such as the September quarter and six-month interim results. The company also files announcements related to grants of awards under share plans, dates of board meetings, and other regulatory communications.
For investors analyzing BABA, these filings provide access to detailed financial statements, segment breakdowns for Alibaba China E-commerce Group, Alibaba International Digital Commerce Group, Cloud Intelligence Group and other businesses, as well as information on share repurchase activity and capital structure changes. Filings also reference registration statements such as Form F-4 used in connection with exchange offers for senior notes.
Through this page, users can review Alibaba’s SEC-disclosed materials alongside AI-powered summaries that highlight key points from lengthy documents. This includes explanations of interim reports, quarterly result announcements and exhibits furnished from Hong Kong regulatory filings. Real-time updates from EDGAR ensure that new 6-K submissions, annual reports and other relevant documents for BABA are quickly accessible, helping users understand how Alibaba reports its e-commerce, cloud computing and financing activities to regulators and investors.
Alibaba Group Holding Limited filed a Form 6-K as a foreign private issuer. The company explains that, as a Hong Kong Stock Exchange–listed issuer, it must submit a Next Day Disclosure Return under Rule 13.25A of the Hong Kong Listing Rules when certain share-related events occur.
The Form 6-K furnishes Alibaba’s Next Day Disclosure Return dated April 21, 2026 as Exhibit 99.1. Alibaba confirms it files its annual reports under cover of Form 20-F.
Alibaba Group Holding Ltd president J. Michael Evans exercised restricted share units into ordinary shares on Apr 1, 2026. Multiple restricted share unit awards in the form of American Depositary Shares vested and settled, resulting in the acquisition of 748,000 ordinary shares. The filing shows no share sales, and Evans now directly holds 748,000 ordinary shares after these vestings. Footnotes state that several awards have fully vested as of Apr 1, 2026, while another award continues to vest in installments.
Alibaba Group Holding Ltd director Joseph C. Tsai reported the vesting of 3,333 restricted share units on April 1, 2026, which settled into an equal number of ordinary shares at no exercise price. Following this RSU vesting, he directly holds 814,405 ordinary shares and 66,667 restricted share units. The filing also shows substantial indirect ownership of ordinary shares held by his spouse and a related corporation.
Alibaba Group director Maggie Wei Wu reported the vesting of equity awards that increased her share holdings. On Apr 1, 2026, 40,808 restricted share units vested and settled into American Depositary Shares, each representing 8 ordinary shares. These units had no exercise price and reflect compensation rather than open‑market purchases.
Following the conversions, Wu directly holds 3,654,160 ordinary shares. An additional 7,200,000 ordinary shares are held indirectly by a trust. One award that began vesting on Apr 1, 2021 is now fully vested, while another award that began vesting on Apr 1, 2022 still has unvested units outstanding.
Alibaba Group Holding Ltd Chief Executive Officer and director Wu Yongming exercised restricted share units that vested into ordinary shares. On Apr 1, 2026, 13,333 restricted share units settled into 13,333 ordinary shares at an exercise price of $0.00 per share as compensation.
Following these transactions, Wu held 973,085 ordinary shares directly and 266,667 restricted share units outstanding and unvested. Indirect holdings included 108,000 ordinary shares held by his spouse and 12,320,000 ordinary shares held by a trust.
Alibaba Group Holding Ltd’s Chief People Officer Jiang Fang reported routine equity compensation activity. On March 25, 2026, restricted share units vested and were converted into a total of 37,333 ordinary shares, including units that settled into American Depositary Shares where each ADS represents eight ordinary shares.
On the same date, 16,848 ordinary shares were sold at a weighted average price of $16.10 per share in Hong Kong to satisfy tax withholding obligations related to this vesting, as described in the footnotes. After these transactions, Jiang Fang held 5,554,653 ordinary shares directly and additional ordinary shares indirectly through a trust.
Alibaba Group Holding Ltd Chief Financial Officer Xu Hong reported routine equity compensation activity. On March 25, 2026, restricted share units vested and were exercised into a total of 121,000 ordinary shares, including units that settled into American Depositary Shares and ordinary shares.
On the same date, 54,450 ordinary shares were sold at a weighted average price of $16.07 per share, with the filing stating the sales were made in Hong Kong to satisfy tax withholding obligations related to the RSU vesting. After these transactions, Xu Hong holds 66,550 ordinary shares directly and 657,570 ordinary shares indirectly through a trust, while additional RSU awards remain unvested and continue on their scheduled vesting timelines.
Alibaba Group Holding Ltd General Counsel Siying Yu reported routine equity compensation activity involving restricted share units and ordinary shares. On Mar 25, 2026, Yu exercised or vested derivative awards covering 47,610 ordinary shares, converting restricted share units into American Depositary Shares and ordinary shares under existing equity awards.
The filing also reports a sale of 21,472 ordinary shares at a weighted average price of $16.06 per share, with individual trades executed in Hong Kong dollars between HK$125 and HK$128.7 and converted at HK$7.8274 to $1.00. According to the disclosure, these shares were sold in the open market in Hong Kong to satisfy tax withholding obligations related to the vesting of restricted share units. After these transactions, Yu directly holds 600,503 ordinary shares and indirectly holds 3,809,664 ordinary shares through a trust.
Alibaba Group Holding Limited reported that its board granted Awards involving 5,902,553 underlying shares on March 21, 2026 under its 2024 Equity Incentive Plan. These awards represent approximately 0.03% of total shares in issue (excluding treasury shares) and were granted to certain employees.
The Awards have a purchase price of nil and were granted without performance targets. They carry mixed vesting schedules over up to four years, with some vesting within 12 months. The closing price of the shares on the grant date was HK$123.70 per share.
Following this grant, up to 398,706,291 shares remain available for future grants under the 2024 Plan, including 93,716,369 shares under the service provider sub-limit. Awards may be satisfied by issuing new shares or using treasury shares and are subject to a detailed clawback mechanism.