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13D Filing: Alibaba Group Holding Ltd (BABA) and BEST Inc (ADR) (BSTI)

You can access the original SEC filing by clicking here.

Ownership Summary Table

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Alibaba Investment Limited 85,831,692 9. 85,831,692 11. 85,831,692 28.3%
Alibaba Group Holding Limited 85,831,692 9. 85,831,692 11. 85,831,692 28.3%

Page 1 of 11 – SEC Filing









Washington, D.C. 20549









Under the Securities Exchange Act of 1934*


(Name of Issuer)


Class A Ordinary Shares, par value US$0.01 per share

(Title of Class of Securities)



(CUSIP Number)


Timothy A. Steinert, Esq.
Alibaba Group Holding Limited
c/o Alibaba Group Services Limited
26/F, Tower One, Times Square
1 Matheson Street, Causeway Bay
Hong Kong
Telephone: +852 2215-5100


Copy to:


Kathryn K. Sudol, Esq.

Simpson Thacher & Bartlett

35/F, ICBC Tower, 3 Garden Road

Central, Hong Kong

Telephone: +852 2514-7600

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)


September 22, 2017

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

** This CUSIP number applies to the Issuers American Depositary Shares, evidenced by American Depositary Receipts, each representing one Class A Ordinary Share of the Issuer.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (the Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).


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