Tsai Joseph C 4

4 · Alibaba Group Holding Ltd · Filed Jul 6, 2026

AI-generated summary of this filing

Updated Jul 6, 2026

Alibaba (BABA) Director Joseph C. Tsai Receives 10,833 Shares via RSU Vesting

What Happened

Joseph C. Tsai, a director of Alibaba Group Holding Ltd (BABA), had restricted stock units (RSUs) vest and convert into a total of 10,833 ordinary shares on July 1, 2026 (3,333 + 7,500). The filing shows these as exercise/conversion of derivatives (Form 4 code M) with $0 cash consideration — i.e., the RSUs settled into shares rather than a cash sale. No market sale or purchase of shares was reported in this transaction.

Key Details

Transaction date: 2026-07-01; Filing date (Form 4): 2026-07-06 (Accession 0001193125-26-295478).
Shares involved: 3,333 and 7,500 RSUs vested and settled (total 10,833 shares).
Reported prices/consideration: N/A for acquisitions; $0.00 for the reported dispositions, reflecting conversion/settlement of RSUs (not a sale for proceeds).
Shares owned after transaction: not specified in the filing.
Footnotes: F1–F2 confirm these were RSUs that vest into one ordinary share each; F3–F4 describe the underlying award schedules (one vests in 24 quarterly installments starting Jul 1, 2025; the other in 16 quarterly installments starting Jul 1, 2026). The vesting reported was as of Jul 1, 2026.
Other remark: The report excludes ordinary shares held by Joe and Clara Tsai Foundation Limited and Parufam Limited; the reporting person disclaims pecuniary interest in those holdings for Section 16 purposes.

Context

This was compensation-related vesting of RSUs (a non-cash event), not an open-market buy or sale. Such vesting is common and does not by itself indicate insider buying or selling intentions. The filing simply documents the conversion of contingent awards into ordinary shares.

Form 4

Period: 2026-07-01

Director

Transactions

Exercise/Conversion
Ordinary Shares
[F1]
2026-07-01+3,333→ 817,738 total
Exercise/Conversion
Ordinary Shares
[F1]
2026-07-01+7,500→ 825,238 total
Exercise/Conversion
Restricted Share Units
[F2][F3]
2026-07-01−3,333→ 63,334 total
→ Ordinary Shares (3,333 underlying)
Exercise/Conversion
Restricted Share Units
[F2][F4]
2026-07-01−7,500→ 112,500 total
→ Ordinary Shares (7,500 underlying)

Holdings

Footnotes (4)

[F1]Reflects restricted share units that vested and settled into ordinary shares.
[F2]Each restricted share unit represents a contingent right to receive one ordinary share. This amount represents the number of vested ordinary shares.
[F3]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 theunderlying award agreement. The vesting reported herein was as of Jul 1, 2026.
[F4]Reflects the outstanding unvested portion of a restricted share unit award granted in the form of ordinary shares that vests in sixteen equal quarterly installments beginning on Jul 1, 2026, subject to the terms and conditions of the underlying award agreement. The vesting reported herein was as of Jul 1, 2026.

Signature

/s/ Kevin Jinwei Zhang, as Attorney-in-Fact for Joseph C. Tsai|2026-07-06

1 file