F-6 1 e612659_f6-alibaba.htm Unassociated Document
 
As filed with the Securities and Exchange Commission on August 27, 2014  
Registration No. 333  - 
 


SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
_____________________
 
FORM F-6
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933 FOR AMERICAN DEPOSITARY SHARES EVIDENCED BY
AMERICAN DEPOSITARY RECEIPTS
__________
 
Alibaba Group Holding Limited
(Exact name of issuer of deposited securities as specified in its charter)
__________
 
N/A
(Translation of issuer’s name into English)
__________

Cayman Islands
(Jurisdiction of incorporation or organization of issuer)
_____________________
 
CITIBANK, N.A.
 
(Exact name of depositary as specified in its charter)
__________
 
399 Park Avenue
New York, New York  10043
(877) 248-4237
(Address, including zip code, and telephone number, including area code, of depositary’s principal executive offices)
__________
 
Corporation Service Company
1180 Avenue of the Americas, Suite 210
New York, New York 10036
(800) 927-9801
 (Address, including zip code, and telephone number, including area code, of agent for service)
_____________________

Copies to:
Leiming Chen, Esq.
Daniel Fertig, Esq.
Simpson Thacher & Bartlett LLP
c/o 35th Floor, ICBC Tower
3 Garden Road Central
Hong Kong
+852-2514-7600
 
 
William H. Hinman, Jr., Esq.
Simpson Thacher & Bartlett LLP
2475 Hanover Street
Palo Alto, California 94304
(650) 251-5000
Herman H. Raspé, Esq.
Patterson Belknap Webb & Tyler LLP
1133 Avenue of the Americas
New York, New York 10036
(212) 336-2301
_____________________ 
 
It is proposed that this filing become effective under Rule 466:  
o  immediately upon filing.
 
o  on (Date) at (Time).
 
If a separate registration statement has been filed to register the deposited shares, check the following box :  x
 
CALCULATION OF REGISTRATION FEE
Title of Each Class of
Securities to be Registered
Amount to be
Registered
Proposed Maximum
Offering Price Per Unit*
Proposed Maximum Aggregate Offering Price**
Amount of
Registration Fee
American Depositary Shares, each American Depositary Share representing one (1) ordinary share of Alibaba Group Holding Limited
2,000,000,000 American Depositary Shares
$5.00
$100,000,000
$12,880.00
 
*
Each unit represents 100 American Depositary Shares.
 
**
Estimated solely for the purpose of calculating the registration fee.  Pursuant to Rule 457(k), such estimate is computed on the basis of the maximum aggregate fees or charges to be imposed in connection with the issuance of American Depositary Shares.

The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, or until this Registration Statement shall become effective on such date as the Commission, acting pursuant to said Section 8(a), may determine.
 
 
 

 
 
This Registration Statement may be executed in any number of counterparts, each of which shall be deemed an original, and all of such counterparts together shall constitute one and the same instrument.
 
 
 

 
 
PART I
 
INFORMATION REQUIRED IN PROSPECTUS
 
Cross Reference Sheet
 
Item 1.   DESCRIPTION OF SECURITIES TO BE REGISTERED
 
Item Number and Caption  
Location in Form of American
Depositary Receipt (“Receipt”)
Filed Herewith as Prospectus                                                      
       
1.   
Name of Depositary and address of its principal executive office
 
Face of Receipt -  Introductory Article.
         
2.
Title of Receipts and identity of deposited securities
 
Face of Receipt  - Top Center.
     
Terms of Deposit:
   
         
  (i)      
The amount of deposited securities represented by one American Depositary Share ("ADS")
 
Face of Receipt  - Upper right corner.
         
  (ii)
The procedure for voting, if any, the deposited securities
 
Reverse of Receipt  - Paragraphs (17)
and (18).
         
  (iii)
The collection and distribution of dividends
 
Reverse of Receipt - Paragraph (15).
         
  (iv)
The transmission of notices, reports and proxy soliciting material
 
Face of Receipt  - Paragraph (14);
Reverse of Receipt - Paragraph (17).
         
  (v)
The sale or exercise of rights
 
Reverse of Receipt – Paragraphs (15)
and (16).
         
  (vi)
The deposit or sale of securities resulting from dividends, splits or plans of reorganization
 
Face of Receipt - Paragraphs (3) and (6);
Reverse of Receipt - Paragraphs (15) and (19).
         
  (vii)
Amendment, extension or termination of the deposit agreement
 
Reverse of Receipt - Paragraphs (23) and (24) (no provision for extensions).
         
  (viii)
Rights of holders of Receipts to inspect the transfer books of the Depositary and the list of holders of ADSs
 
Face of Receipt - Paragraph (14).
 
 
I-2

 
 
  (ix)
Restrictions upon the right to deposit or withdraw the underlying securities
 
Face of Receipt – Paragraphs (2), (3), (4), (6), (7), (9) and (10).
         
  (x)     
Limitation upon the liability of the Depositary
 
Face of Receipt - Paragraph (8);
Reverse of Receipt - Paragraphs (20) and (21).
         
3.   
Fees and charges which may be imposed directly or indirectly on holders of ADSs
 
Face of Receipt - Paragraph (11).
       
       
Item 2.   AVAILABLE INFORMATION
 
Face of Receipt - Paragraph (14).
 
Alibaba Group Holding Limited (the “Company”) is subject to the periodic reporting requirements of the United States Securities Exchange Act of 1934, as amended, and, accordingly, files certain reports with, and furnishes certain reports to, the United States Securities and Exchange Commission (the “Commission”).  These reports can be retrieved from the Commission’s internet website (www.sec.gov), and can be inspected and copied at the public reference facilities maintained by the Commission located (as of the date of the Deposit Agreement) at 100 F Street, N.E., Washington, D.C. 20549.
 
 
 

 
 
PROSPECTUS
 
The Prospectus consists of the proposed form of American Depositary Receipt included as Exhibit A to the Form of Deposit Agreement filed as Exhibit (a) to this Registration Statement on Form F-6 and is incorporated herein by reference.
 
 
 

 
 
PART II
 
INFORMATION NOT REQUIRED IN PROSPECTUS
 
Item 1. EXHIBITS
 
(a)  
Form of Deposit Agreement, by and among the Company, Citibank, N.A., as depositary (the “Depositary”), and all Holders and Beneficial Owners of American Depositary Shares issued thereunder (“Deposit Agreement”).  ___ Filed herewith as Exhibit (a).
 
(b)  
Any other agreement to which the Depositary is a party relating to the issuance of the American Depositary Shares registered hereunder or the custody of the deposited securities represented thereby.  ___ None.
 
(c)  
Every material contract relating to the deposited securities between the Depositary and the issuer of the deposited securities in effect at any time within the last three years.  ___ None.
 
(d)  
Opinion of counsel for the Depositary as to the legality of the securities to be registered.  ___ Filed herewith as Exhibit (d).
 
(e)  
Certificate under Rule 466.  ___ None.
 
(f)  
Powers of Attorney for certain officers and directors and the authorized representative of the Company.  ___ Set forth on the signature pages hereto.
 
 
 

 
 
Item 2. UNDERTAKINGS
 
(a)  
The Depositary hereby undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of ADSs, any reports and communications received from the issuer of the deposited securities which are both (1) received by the Depositary as the holder of the deposited securities, and (2) made generally available to the holders of the underlying securities by the issuer.
 
(b)  
If the amount of fees charged is not disclosed in the prospectus, the Depositary undertakes to prepare a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a copy of such fee schedule without charge to anyone upon request.  The Depositary undertakes to notify each registered holder of an ADS thirty (30) days before any change in the fee schedule.
 
 
 

 
 
SIGNATURES
 
Pursuant to the requirements of the Securities Act of 1933, as amended, Citibank, N.A., acting solely on behalf of the legal entity to be created by the Deposit Agreement, by and among Alibaba Group Holding Limited, Citibank, N.A., as depositary, and all Holders and Beneficial Owners of American Depositary Shares to be issued thereunder, certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 27th day of August, 2014.
 
 
Legal entity to be created by the Deposit Agreement under which the American Depositary Shares registered hereunder are to be issued, each American Depositary Share representing one (1) ordinary share of Alibaba Group Holding Limited
 
CITIBANK, N.A., solely in its capacity as Depositary
 
       
 
By:
/s/ Thomas Crane  
    Name: Thomas Crane  
    Title: Vice President  
       
 
 
 

 
 
SIGNATURES
 
Pursuant to the requirements of the Securities Act of 1933, as amended, Alibaba Group Holding Limited certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in Hong Kong on August 27, 2014.
 
 
Alibaba Group Holding Limited
 
       
 
By:
/s/ Timothy A. STEINERT  
 
Name: Timothy A. STEINERT
 
 
Title:   General Counsel and Corporate Secretary
 
       
 
 
 

 
 
POWERS OF ATTORNEY
 
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Joseph C. Tsai, Jonathan Zhaoxi Lu, Maggie Wei Wu and Timothy A. Steinert, each of them, his or her true and lawful attorney-in-fact and agents, each with full power of substitution, for him or her and in his or her name, place and stead, in any and all such capacities, to sign any and all amendments (including post-effective amendments and supplements) to this Registration Statement and any and all related registration statements pursuant to Rule 462(b) of the Securities Act of 1933, as amended, and to file the same, with all exhibits thereto and other documents in connection therewith, with the United States Securities and Exchange Commission, hereby ratifying and confirming all that said attorney-in-fact and agents, or any of them, or their substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
 
Pursuant to the requirements of the United States Securities Act of 1933, as amended, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.

Signature
 
Capacity
 
Date
         
/s/ Jack Yun MA
     
August 27, 2014
Jack Yun MA
 
Executive Chairman
   
         
/s/ Joseph C. TSAI
     
August 27, 2014
Joseph C. TSAI
 
Executive Vice Chairman
   
         
/s/ Masayoshi SON
     
August 27, 2014
Masayoshi SON
 
Director
   
         
/s/ Jonathan Zhaoxi LU
     
August 27, 2014
Jonathan Zhaoxi LU
 
Chief Executive Officer (principal
executive officer)
   
         
/s/ Maggie Wei WU
     
August 27, 2014
Maggie Wei WU
 
Chief Financial Officer (principal
financial and accounting officer)
   
         
/s/ Timothy A. STEINERT
     
August 27, 2014
Timothy A. STEINERT
 
General Counsel and Corporate Secretary
   
 
 
 

 
 
SIGNATURE OF AUTHORIZED REPRESENTATIVE IN THE UNITED STATES

Pursuant to the requirements of the United States Securities Act of 1933, as amended, the undersigned, the duly authorized representative in the United States of Alibaba Group Holding Limited has signed this Registration Statement in the City of Newark, State of Delaware, on this 27th day of August, 2014.
 
 
PUGLISI & ASSOCIATES
 
       
  /s/ Donald J. Puglisi  
 
Name:  Donald J. Puglisi
 
 
Title:    Managing Director
 
       
 
 
 

 
 
Index to Exhibits
 
Exhibit
Document
Sequentially
Numbered Page
(a)
Form of Deposit Agreement
 
(d)
Opinion of counsel to the Depositary