Ownership Filing of Joseph C. Tsai for Alibaba Group Holding Ltd

2026-04-03SEC Filing 4 (0001193125-26-141217)

Joseph C. Tsai, a director at Alibaba Group Holding Ltd (BABA), reported a transaction on April 1, 2026, involving the acquisition of 3,333 ordinary shares with a transaction price of $0.0. Following this transaction, Tsai directly owns 814,405 ordinary shares. Additionally, the filing details derivative transactions, specifically the vesting and settlement of 3,333 Restricted Share Units (RSUs) into ordinary shares. These RSUs, each representing a contingent right to one ordinary share, were subject to vesting conditions. The report also notes indirect holdings, including 1,280,000 ordinary shares held by spouse and 113,539,168 ordinary shares held by a corporation. It is important to note that shares held by Joe and Clara Tsai Foundation Limited and Parufam Limited are not included in this report, as they were previously disclosed in the Issuer's Form 20-F filing. Tsai disclaims any pecuniary interest or beneficial ownership over these excluded shares for Section 16 purposes.