0001104659-19-014857.txt : 20190314 0001104659-19-014857.hdr.sgml : 20190314 20190314163024 ACCESSION NUMBER: 0001104659-19-014857 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190314 FILED AS OF DATE: 20190314 DATE AS OF CHANGE: 20190314 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: 19681461 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 a19-6587_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

 

March 14, 2019

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 — Jack Ma and Joseph C. Tsai Affiliated Entities and Philanthropic Foundations Adopt Rule 10b5-1 Share Sales Plans

 

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: March 14, 2019

By:

/s/ Maggie Wei Wu

 

Name:

Maggie Wei Wu

 

Title:

Chief Financial Officer

 

3

 EX-99.1 2 a19-6587_1ex99d1.htm EX-99.1

Exhibit 99.1

 

Jack Ma and Joseph C. Tsai Affiliated Entities and Philanthropic Foundations 
Adopt Rule 10b5-1 Share Sales Plans

 

JC Properties Limited and JSP Investment Limited, entities affiliated with Jack Ma, founder and executive chairman of Alibaba Group Holding Limited (the “Company”), and The Jack Ma Philanthropic Foundation, a philanthropic foundation affiliated with Mr. Ma, have adopted a pre-arranged share sales plan in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended (“Rule 10b5-1”).  The plan allows for the sale of up to 21.4 million shares of the Company commencing in April 2019 and through April 2020.  The 21.4 million shares of the Company represent approximately 12.8% of the holdings under Mr. Ma’s beneficial ownership.

 

PMH Holding Limited and Parufam Limited, entities affiliated with Joseph C. Tsai, executive vice chairman of the Company, and Joe and Clara Tsai Foundation, the philanthropic foundation affiliated with Mr. Tsai, have adopted a pre-arranged share sales plan in accordance with Rule 10b5-1.  The plan allows for the sale of up to 9.2 million shares of the Company commencing in April 2019 and through the end of 2019.  The 9.2 million shares of the Company represent approximately 15.5% of the holdings under Mr. Tsai’s beneficial ownership.

 

These plans have been put in place for ordinary wealth planning purposes and to meet philanthropic commitments.

 

In accordance with these plans, the sales will occur from time to time pursuant to fixed instructions for trades based on prices and volume restrictions, to be executed by third-party brokers.

 

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.

 

March 14, 2019