0001104659-16-162618.txt : 20161216 0001104659-16-162618.hdr.sgml : 20161216 20161216163024 ACCESSION NUMBER: 0001104659-16-162618 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20161216 DATE AS OF CHANGE: 20161216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Alibaba Group Holding Ltd CENTRAL INDEX KEY: 0001577552 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-36614 FILM NUMBER: 162056640 BUSINESS ADDRESS: STREET 1: C/O ALIBABA GROUP SERVICES LIMITED, 26/F STREET 2: TOWER ONE, TIMES SQUARE, 1 MATHESON ST. CITY: CAUSEWAY BAY STATE: K3 ZIP: 00000 BUSINESS PHONE: 852-2215-5100 MAIL ADDRESS: STREET 1: C/O ALIBABA GROUP SERVICES LIMITED, 26/F STREET 2: TOWER ONE, TIMES SQUARE, 1 MATHESON ST. CITY: CAUSEWAY BAY STATE: K3 ZIP: 00000 6-K 1 a16-23298_16k.htm 6-K

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 6-K

 

Report of Foreign Private Issuer

Pursuant to Rule 13a-16 or 15d-16 of

the Securities Exchange Act of 1934

 

December 16, 2016

Commission File Number: 001-36614

 

Alibaba Group Holding Limited

(Registrant’s name)

 

c/o Alibaba Group Services Limited

26/F Tower One, Times Square

1 Matheson Street

Causeway Bay

Hong Kong

(Address of principal executive offices)

 

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F:

 

Form 20-F x Form 40-F o

 

Indicate by check mark if the registrant is submitting the Form 6-K on paper as permitted by Regulation S-T Rule 101(b)(1): o

 

Indicate by check mark if the registrant is submitting the Form 6-K on paper as permitted by Regulation S-T Rule 101(b)(7): o

 

 

 


 

EXHIBITS

 

Exhibit 99.1 — Joe and Clara Tsai Foundation and Other Affiliates of Joseph C. Tsai Adopt Rule 10b5-1 Sales Plan

 

2


 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

ALIBABA GROUP HOLDING LIMITED

 

 

 

Date: December 16, 2016

By:

/s/ Timothy A. Steinert

 

Name:

Timothy A. Steinert

 

Title:

General Counsel and Secretary

 

3

 EX-99.1 2 a16-23298_1ex99d1.htm EX-99.1

Exhibit 99.1

 

Joe and Clara Tsai Foundation and Other Affiliates of Joseph C. Tsai
Adopt Rule 10b5-1 Sales Plan

 

Joe and Clara Tsai Foundation, the philanthropic foundation affiliated with Joseph C. Tsai, executive vice chairman of Alibaba Group Holding Limited (the “Company”), together with Parufam Limited and MFG II Ltd., entities affiliated with Mr. Tsai, have adopted a pre-arranged stock sales plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The plan allows for the sale of up to approximately 6.5 million shares of the Company’s stock through October 2017.

 

This plan has been put in place to meet philanthropic commitments and for ordinary wealth planning purposes. The 6.5 million shares of the Company’s stock represent approximately 8% of the holdings under Mr. Tsai’s beneficial ownership.

 

In accordance with the trading plan, the sales will occur from time to time pursuant to fixed instructions for trades based on price and volume restrictions, to be executed by a third-party broker.

 

SEC Rule 10b5-1 allows corporate officers and directors to adopt written, pre-arranged stock trading plans to meet commitments and wealth planning requirements, spreading stock trades out over an extended period of time to reduce any market impact and avoid concerns about whether they had material, non-public information.