0001104659-17-036375.txt : 20170531 0001104659-17-036375.hdr.sgml : 20170531 20170531062818 ACCESSION NUMBER: 0001104659-17-036375 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 1 13p-1 1.01 20161231 FILED AS OF DATE: 20170531 DATE AS OF CHANGE: 20170531 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: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-36614 FILM NUMBER: 17879451 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 SD 1 a17-14367_1sd.htm SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

 

SPECIALIZED DISCLOSURE REPORT

 

Alibaba Group Holding Limited

(Exact name of the registrant as specified in its charter)

 

Cayman Islands

 

001-36614

 

Not Applicable

(State or other jurisdiction

 

(Commission File

 

(IRS Employer

of incorporation or organization)

 

Number)

 

Identification No.)

 

c/o Alibaba Group Services Limited
26/F Tower One, Times Square
1 Matheson Street
Causeway Bay
Hong Kong

 

Not Applicable

(Address of principal executive offices)

 

(Zip Code)

 

Timothy A. Steinert, Esq.

General Counsel and Secretary

Telephone: +852-2215-5100

(Name and telephone number, including area code, of the person to contact in
connection with this report.)

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016

 

 

 


 

Section 1 Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

Conflict Minerals Disclosure

 

This Form SD disclosure of Alibaba Group Holding Limited (the “Company”) is for the period from January 1, 2016 to December 31, 2016. Unless the context indicates otherwise, “the Company,” “we,” and “our” refer to Alibaba Group Holding Limited and its consolidated subsidiaries and its affiliated consolidated entities, including our variable interest entities and their subsidiaries.

 

This disclosure is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”). Pursuant to Rule 13p-1, the Company undertook to determine whether the products it manufactured or contracted to manufacture during the year ended December 31, 2016 contained conflict minerals necessary to the functionality or production of such products. “Conflict minerals” are defined as cassiterite, columbite-tantalite, gold, wolframite and their derivatives, which are limited to tin, tantalum and tungsten (“3TG”).

 

The Company evaluated its products to determine which of its products may contain 3TG. Based on this review, the Company determined that gold and tin are necessary to the functionality or production of certain components in its products. The Company’s products that contain gold and/or tin are: (i) certain of our Youku branded routers, which contain tin, and (ii) certain of our Tmall set-top boxes, which contain gold and tin. We refer to such routers and set-top boxes as the “Covered Products.” The Covered Products account for an insignificant percentage of our revenue.

 

The Company conducted a reasonable country of origin inquiry to determine whether any of the gold or tin contained in the Covered Products originated in the Democratic Republic of the Congo, Angola, Burundi, Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia (together, the “Covered Countries”) or from recycled or scrap sources. The Company’s primary means of determining the country of origin of the gold and tin contained in the Covered Products was conducting (i) an internal supply-chain inquiry to identify products containing 3TG, and (ii) inquiring of the Company’s suppliers eliciting, as applicable, information regarding (a) the country of origin of the gold and tin contained in the Covered Products, (b) whether the gold and tin came from scrap or recycled sources, and (c) other relevant information regarding the suppliers’ (or its suppliers’) practices concerning 3TG.

 

Based on the reasonable country of origin inquiry described above, the Company is unable to determine with the greatest possible specificity the country of origin of the 3TG in the Covered Products.

 

In accordance with the requirements under Rule 13p-1, the above disclosure is also available on the Company’s website at http://www.alibabagroup.com/en/ir/secfilings.

 

Item 1.02 Exhibits

 

None.

 

Section 2 Exhibits

 

Item 2.01 Exhibits

 

None.

 

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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 hereunto duly authorized.

 

 

ALIBABA GROUP HOLDING LIMITED

 

 

 

 

Date: May 31, 2017

By:

/s/ Timothy A. Steinert

 

 

Timothy A. Steinert
General Counsel and Secretary

 

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