Yu Siying's Form 4 filing
Alibaba Group Holding LtdBABA · filed Mar 26, 2026
- Accession no.
- 0002114147-26-000005
- Filed
- Mar 26, 2026
- Trade date
- Mar 25, 2026
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 5 derivative transactions. Open-market sales total $344.8K. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Yu SiyingCIK 0002114147 | Officer (General Counsel) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 25, 2026 | Ordinary Shares | MOption exerciseAcquired | +25,336 | –F1 | – | 599,701 | Direct | |
| Mar 25, 2026 | Ordinary Shares | MOption exerciseAcquired | +5,600 | –F1 | – | 605,301 | Direct | |
| Mar 25, 2026 | Ordinary Shares | MOption exerciseAcquired | +10,672 | –F1 | – | 615,973 | Direct | |
| Mar 25, 2026 | Ordinary Shares | MOption exerciseAcquired | +3,336 | –F1 | – | 619,309 | Direct | |
| Mar 25, 2026 | Ordinary Shares | MOption exerciseAcquired | +2,666 | –F2 | – | 621,975 | Direct | |
| Mar 25, 2026 | Ordinary Shares | SSaleDisposed | −21,472 | $16.06F4 | −$344,840.32 | 600,503 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 25, 2026 | Ordinary Shares | MOption exerciseDisposed | −25,336 | $0.00 | $0 | 0 | Direct | |
| Mar 25, 2026 | Ordinary Shares | MOption exerciseDisposed | −5,600 | $0.00 | $0 | 5,600 | Direct | |
| Mar 25, 2026 | Ordinary Shares | MOption exerciseDisposed | −10,672 | $0.00 | $0 | 32,000 | Direct | |
| Mar 25, 2026 | Ordinary Shares | MOption exerciseDisposed | −3,336 | $0.00 | $0 | 53,336 | Direct | |
| Mar 25, 2026 | Ordinary Shares | MOption exerciseDisposed | −2,666 | $0.00 | $0 | 53,334 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Reflects restricted share units that vested and settled into American Depositary Shares ("ADSs"). Each ADS represents 8 ordinary shares. This amount represents the ordinary shares underlying the ADSs acquired in connection with such vesting.
Referenced by the price of 4 transactions in Table I.
- F2
Reflects restricted share units that vested and settled into ordinary shares.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging denominated in Hong Kong dollars ranging from 125 to 128.7, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The sales prices reported herein were converted from Hong Kong dollars to United States dollars at a conversion price of HK$7.8274 to US$1.00.
Referenced by the price of 1 transaction in Table I.