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Alibaba (NYSE: BABA) CEO adds 13,333 shares as RSUs vest

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

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.

Positive

  • None.

Negative

  • None.
Insider Wu Yongming
Role Chief Executive Officer
Type Security Shares Price Value
Exercise Restricted Share Units 13,333 $0.00 --
Exercise Ordinary Shares 13,333 $0.00 --
holding Ordinary Shares -- -- --
holding Ordinary Shares -- -- --
Holdings After Transaction: Restricted Share Units — 266,667 shares (Direct); Ordinary Shares — 973,085 shares (Direct); Ordinary Shares — 108,000 shares (Indirect, By spouse)
Footnotes (1)
  1. Reflects restricted share units that vested and settled into ordinary shares. Each restricted share unit represents a contingent right to receive one ordinary share. This amount represents the number of vested ordinary shares. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ordinary shares that vests in twenty-four equal quarterly installments beginning on Jul 1, 2025, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Apr 1, 2026.
RSUs exercised 13,333 units Restricted share units vested and settled on Apr 1, 2026
Shares acquired from RSUs 13,333 ordinary shares One ordinary share per restricted share unit vested
Exercise price $0.00 per share Conversion of restricted share units into ordinary shares
Direct ordinary shares after transaction 973,085 shares Wu Yongming direct holdings after Apr 1, 2026 transactions
Unvested RSUs outstanding 266,667 units Outstanding unvested portion of restricted share unit award after vesting
Spouse indirect holdings 108,000 shares Ordinary shares held indirectly by spouse
Trust indirect holdings 12,320,000 shares Ordinary shares held indirectly by trust
Restricted Share Units financial
"Reflects restricted share units that vested and settled into ordinary shares."
Restricted share units (RSUs) are a promise from a company to give an employee or service provider actual shares or cash equal to the shares after certain conditions are met, typically staying with the company for a set time or hitting performance targets. Think of them like a time-locked gift card that becomes usable only after you’ve earned it. For investors, RSUs matter because they align employee incentives with company performance and can increase the number of shares outstanding over time, diluting existing ownership and affecting earnings per share.
Ordinary Shares financial
"Each restricted share unit represents a contingent right to receive one ordinary share."
Ordinary shares are a type of ownership stake in a company, giving shareholders a right to participate in the company’s profits and decision-making through voting. They are similar to owning a piece of a business, and their value can rise or fall based on the company's performance. Investors buy ordinary shares to potentially earn dividends and benefit from the company's growth over time.
derivative exercise/conversion financial
"transaction_action": "derivative exercise/conversion""
By spouse financial
"nature_of_ownership": "By spouse""
By trust financial
"nature_of_ownership": "By trust""
unvested portion financial
"Reflects the outstanding unvested portion of a restricted share unit award granted"
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Wu Yongming
(Last)(First)(Middle)
26/F TOWER ONE, TIMES SQUARE
1 MATHESON STREET, CAUSEWAY BAY
(Street)
HONG KONGHONG KONG00000
(City)(State)(Zip)
HONG KONG
(Country)		2. Issuer Name and Ticker or Trading Symbol
Alibaba Group Holding Ltd [ BABA ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
Chief Executive Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/01/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Ordinary Shares04/01/2026M13,333A(1)973,085D
Ordinary Shares108,000IBy spouse
Ordinary Shares12,320,000IBy trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Share Units(2)04/01/2026M13,333 (3) (3)Ordinary Shares(2)13,333(2)$0266,667(3)D
Explanation of Responses:
1. Reflects restricted share units that vested and settled into ordinary shares.
2. Each restricted share unit represents a contingent right to receive one ordinary share. This amount represents the number of vested ordinary shares.
3. Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ordinary shares that vests in twenty-four equal quarterly installments beginning on Jul 1, 2025, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Apr 1, 2026.
/s/ Kevin Jinwei Zhang, as Attorney-in-Fact for Eddie Yongming Wu04/03/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Alibaba (BABA) CEO Wu Yongming report?

Wu Yongming reported exercising 13,333 restricted share units into 13,333 ordinary shares at an exercise price of $0.00 per share. The event reflects equity compensation vesting, not an open-market purchase or sale of Alibaba shares.

How many Alibaba (BABA) shares does CEO Wu Yongming hold directly after this filing?

After the reported vesting, Wu Yongming directly holds 973,085 ordinary shares of Alibaba. In addition, he has 266,667 restricted share units outstanding and unvested that may convert into ordinary shares in future periods if vesting conditions are satisfied.

What do the vested restricted share units mean for Alibaba (BABA) CEO compensation?

The filing shows 13,333 restricted share units vested and converted into ordinary shares as part of Wu Yongming’s equity compensation. Each restricted share unit represented a contingent right to receive one Alibaba ordinary share when the vesting conditions were met.

Did Alibaba (BABA) CEO Wu Yongming sell any shares in this Form 4?

The Form 4 does not report any open-market sales by Wu Yongming. It records the exercise of 13,333 restricted share units into ordinary shares and updates his direct and indirect holdings, reflecting compensation-related vesting rather than a discretionary sale.