Securities Registration: Employee Benefit Plan (s-8)
August 31 2021 - 7:02AM
Edgar (US Regulatory)
As Filed with the Securities and Exchange Commission
on August 31, 2021
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Alibaba Group Holding Limited
(Exact name of registrant as specified in its charter)
Cayman Islands
|
|
Not Applicable
|
(State or other jurisdiction of
Incorporation or Organization)
|
|
(I.R.S. Employer
Identification No.)
|
26/F Tower One, Times Square
1 Matheson Street
Causeway Bay
Hong Kong
+852-2215-5100
(Address of registrant’s principal executive
offices)
2014 Post-IPO Equity Incentive Plan
(Full title of the Plan)
Corporation Service Company
1180 Avenue of the Americas, Suite 210
New York, New York 10036
(800) 927-9801
(Name address and telephone number of agent for
service)
Copies to:
Maggie Wei Wu, Chief Financial Officer
Alibaba Group Holding Limited
26/F Tower One, Times Square
1 Matheson Street, Causeway Bay
Hong Kong
+852-2215-5100
Daniel Fertig, Esq.
Simpson Thacher & Bartlett LLP
c/o 35th Floor, ICBC Tower
3 Garden Road Central
Hong Kong
+852-2514-7600
|
|
Kevin P. Kennedy, Esq.
Simpson Thacher & Bartlett LLP
2475 Hanover Street
Palo Alto, California 94304
U.S.A.
650-251-5000
|
Indicate by check mark whether the registrant is a large accelerated
filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company. See the definitions of
“large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth
company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer
|
x
|
Accelerated filer
|
¨
|
Non-accelerated filer
|
¨
|
Smaller reporting company
|
¨
|
|
|
Emerging growth company
|
¨
|
If an emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant
to Section 7(a)(2)(B) of the Securities Act. ¨
CALCULATION OF REGISTRATION FEE
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Title of Securities
to be Registered
|
|
Amount
to be
Registered(1)
|
|
Proposed
Maximum
Offering Price
per Share
|
|
Proposed
Maximum
Aggregate
Offering Price
|
|
Amount of
Registration
Fee
|
|
Ordinary Shares, par value US$0.000003125 per share(2)
|
|
|
|
|
|
|
|
|
|
- 2014 Post-IPO Equity Incentive Plan
|
|
200,000,000 shares(3)
|
|
US$20.02(4)
|
|
US$4,004,000,000
|
|
US$436,836.40
|
|
TOTAL
|
|
200,000,000 shares
|
|
|
|
US$4,004,000,000
|
|
US$436,836.40
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(1)
|
Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the “Securities
Act”), this Registration Statement (the “Registration Statement”) includes an indeterminate number of additional ordinary
shares, par value US$0.000003125 per share (the “Ordinary Shares”) of Alibaba Group Holding Limited (the “Company”
or “Registrant”), which may be offered and issued under the Registrant’s 2014 Post-IPO Equity Incentive Plan (the “2014
Plan”) to prevent dilution from stock splits, stock dividends or similar transactions.
|
|
(2)
|
These Ordinary Shares may be represented by the Registrant’s American depositary shares (“ADSs”),
each of which represents eight Ordinary Shares. ADSs issuable upon deposit of the securities registered hereby have been registered under
separate registration statements on Form F-6 (Registration No. 333-198401 and Registration No. 333-231579).
|
|
(3)
|
Represents additional Ordinary Shares reserved for issuance under the 2014 Plan pursuant to the 2014
Plan’s evergreen provision.
|
|
(4)
|
Estimated in accordance with Rules 457(c) and (h) solely for the purpose of calculating
the registration fee based on the average of the high and low prices of the Registrant’s ADSs as reported on the New York Stock
Exchange on August 27, 2021 divided by eight, the then Ordinary Share-to-ADS ratio.
|
EXPLANATORY NOTE
This Registration Statement on Form S-8 is being filed for the
purpose of registering an additional 200,000,000 ordinary shares, par value US$0.000003125 per share, of the Registrant, that are issuable
under the Registrant’s 2014 Post-IPO Equity Incentive Plan. These 200,000,000 ordinary shares are additional securities of the same
class as other securities for which original registration statements (File No. 333-199133, File No. 333-214595, File No. 333-219292,
File No. 333-226521, File No. 333-233794 and File No. 333-248584) on Form S-8 were respectively filed with the Securities
and Exchange Commission (the “Commission”) on October 3, 2014, November 14, 2016, July 14, 2017, August 2, 2018, September 16, 2019 and September 3, 2020. Pursuant to General Instruction E to Form S-8, the contents of such earlier
registration statements are incorporated by reference into this Registration Statement.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
ITEM 3. Incorporation of Documents by Reference
The following documents filed by the Registrant with the Commission
are incorporated by reference herein:
All documents filed pursuant to Sections 13(a), 13(c), 14 and 15(d) of
the Exchange Act after the date of this Registration Statement and prior to the filing of a post-effective amendment which indicates that
all securities offered hereby have been sold or which deregisters all securities then remaining unsold shall be deemed to be incorporated
by reference into this Registration Statement and to be a part hereof from the date of filing of such documents. Any statement contained
in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes
of this Registration Statement to the extent that a statement contained herein or in any other subsequently filed document which also
is or is deemed to be incorporated by reference herein modifies or supersedes such statement. Any such statement so modified or superseded
shall not be deemed, except as so modified or superseded, to constitute a part of this Registration Statement.
ITEM 8. Exhibits
The Exhibits listed on the accompanying Exhibit Index are filed
as a part of, or incorporated by reference into, this Registration Statement. (See Exhibit Index below).
SIGNATURES
Pursuant to the requirements of the Securities Act, the Registrant
certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused
this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in Hong Kong, on August 31,
2021.
|
Alibaba Group Holding Limited
|
|
|
|
|
By:
|
/s/ Kevin Jinwei ZHANG
|
|
Name:
|
Kevin Jinwei ZHANG
|
|
Title:
|
Company Secretary
|
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature
appears below does hereby constitute and appoint Daniel Yong Zhang, Joseph C. Tsai, Maggie Wei Wu and Sara Siying Yu, and each of them,
as his or her true and lawful attorneys-in-fact and agents, each with the full power of substitution and re-substitution, for and in such
person’s name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments)
to this Registration Statement and to file the same, with all exhibits thereto, and other documents in connection therewith, with the
Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do
and perform each and every act and thing requisite and necessary to be done in connection therewith and about the premises, as fully to
all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents,
or any of them, or their or his substitutes, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, as amended,
this Registration Statement has been signed by the following persons in the capacities indicated and on August 31, 2021.
Signature
|
|
Capacity
|
|
|
|
/s/ Daniel Yong ZHANG
|
|
Chairman and Chief Executive Officer
(Principal Executive Officer)
|
Daniel Yong ZHANG
|
|
|
|
|
|
/s/ Joseph C. TSAI
|
|
Executive Vice Chairman
|
Joseph C. TSAI
|
|
|
|
|
|
/s/ Maggie Wei WU
|
|
Director and Chief Financial Officer
(Principal Financial and Accounting Officer)
|
Maggie Wei WU
|
|
|
|
|
|
/s/ J. Michael EVANS
|
|
Director and President
|
J. Michael EVANS
|
|
|
|
|
|
/s/ Eric Xiandong JING
|
|
Director
|
Eric Xiandong JING
|
|
|
|
|
|
/s/ Kabir MISRA
|
|
Director
|
Kabir MISRA
|
|
|
|
|
|
/s/ Chee Hwa TUNG
|
|
Independent Director
|
Chee Hwa TUNG
|
|
|
|
|
|
/s/ Walter Teh Ming KWAUK
|
|
Independent Director
|
Walter Teh Ming KWAUK
|
|
|
|
|
|
/s/ Jerry YANG
|
|
Independent Director
|
Jerry YANG
|
|
|
|
|
|
/s/ E. Börje EKHOLM
|
|
Independent Director
|
E. Börje EKHOLM
|
|
|
|
|
|
/s/ Wan Ling MARTELLO
|
|
Independent Director
|
Wan Ling MARTELLO
|
|
|
Signature of authorized representative in the
United States
Pursuant to the 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 or amendment
thereto in the city of Newark, State of Delaware, on August 31, 2021.
|
PUGLISI & ASSOCIATES
|
|
|
|
|
By:
|
/s/ Donald J. Puglisi
|
|
Name:
|
Donald J. Puglisi
|
|
Title:
|
Managing Director
|
EXHIBIT INDEX
*Filed herewith.
Alibaba (NYSE:BABA)
Historical Stock Chart
From Mar 2024 to Apr 2024
Alibaba (NYSE:BABA)
Historical Stock Chart
From Apr 2023 to Apr 2024