Alibaba Director Joseph Tsai Acquires 10,834 Shares via RSU Vesting
Alibaba Group Holding Ltd
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Filing Summary
### Insider Filing: Alibaba Group Holding Ltd (BABA)
**Insider:** Tsai Joseph C (Director)
**Filing Date:** October 5, 2026 | **Transaction Date:** October 1, 2026
- **Transaction:** Acquisition (M - Exercise/Vesting)
- **Shares:** 10,834 Ordinary Shares
- **Price:** $0.00
- **Direct Ownership Post-Transaction:** 836,072 shares
- **Indirect Ownership:** 116,259,168 shares (Corporation & Spouse)
- **Significance:** Low (Routine award settlement)
Comprehensive Analysis
Executive Summary
On October 5, 2026, Alibaba Group Holding Ltd (NYSE: BABA) filed a Form 4 on behalf of Director Joseph C. Tsai detailing the vesting and settlement of Restricted Share Units (RSUs) on October 1, 2026. A total of 10,834 ordinary shares were acquired at $0.00 per share across two tranches pursuant to scheduled RSU vesting schedules.
Transaction Breakdown
- First Tranche: Vesting of 3,334 RSUs into 3,334 Ordinary Shares (Code M), part of a quarterly installment schedule originating from a grant vesting over 24 quarters.
- Second Tranche: Vesting of 7,500 RSUs into 7,500 Ordinary Shares (Code M), part of a quarterly installment schedule originating from a grant vesting over 16 quarters.
- Transaction Value: $0 (Equity compensation settlement).
Ownership Profile
Following these transactions, Joseph C. Tsai's direct and indirect holdings include:
- Direct Ownership: 836,072 ordinary shares.
- Indirect Ownership (Spouse): 1,280,000 ordinary shares.
- Indirect Ownership (Corporation): 114,979,168 ordinary shares.
- Derivative Holdings (Unvested RSUs): 165,000 unvested RSUs across both awards.
Market Impact & Significance
This filing reflects routine equity compensation vesting under previously established award schedules and does not represent open-market purchases or sales. Consequently, the trading significance is categorized as Low.
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