BABA offering history
Every offering-related filing in Alibaba Group Holding Ltd’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 677 filings back to May 6, 2014.
| Date | Filing | What it means | |
|---|---|---|---|
| Sep 4, 2025 | 424B3 → | UPDATE | Prospectus update — often a resale registration, not necessarily new capital |
| Sep 4, 2025 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Feb 5, 2021 | FWP → | MARKETING | Free-writing prospectus — offering being marketed |
| Feb 5, 2021 | 424B2 → | EXECUTED | Prospectus supplement priced — shares or notes (large filers: often a bond deal) |
| Feb 2, 2021 | F-3ASR → | REGISTERED | Automatic shelf registration — effective immediately (large filers) |
| Feb 2, 2021 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Nov 20, 2019 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Nov 14, 2019 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Nov 14, 2019 | FWP → | MARKETING | Free-writing prospectus — offering being marketed |
| Nov 13, 2019 | F-3ASR → | REGISTERED | Automatic shelf registration — effective immediately (large filers) |
| Nov 13, 2019 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Jul 30, 2019 | 424B3 → | UPDATE | Prospectus update — often a resale registration, not necessarily new capital |
| Nov 30, 2017 | FWP → | MARKETING | Free-writing prospectus — offering being marketed |
| Nov 30, 2017 | 424B2 → | EXECUTED | Prospectus supplement priced — shares or notes (large filers: often a bond deal) |
| Nov 27, 2017 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Nov 24, 2017 | F-3ASR → | REGISTERED | Automatic shelf registration — effective immediately (large filers) |
| Oct 28, 2015 | 424B3 → | UPDATE | Prospectus update — often a resale registration, not necessarily new capital |
| Oct 27, 2015 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Sep 22, 2014 | 424B4 → | EXECUTED | Final prospectus — offering priced (typical for IPOs and marketed share deals) |
| Sep 18, 2014 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Sep 18, 2014 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Sep 15, 2014 | F-1/A → | REGISTERED | F-1/A registration — capacity to sell shares, not a sale yet |
| Sep 5, 2014 | F-1/A → | REGISTERED | F-1/A registration — capacity to sell shares, not a sale yet |
| Aug 27, 2014 | F-1/A → | REGISTERED | F-1/A registration — capacity to sell shares, not a sale yet |
| Aug 12, 2014 | F-1/A → | REGISTERED | F-1/A registration — capacity to sell shares, not a sale yet |
| Jul 11, 2014 | F-1/A → | REGISTERED | F-1/A registration — capacity to sell shares, not a sale yet |
| Jun 26, 2014 | F-1/A → | REGISTERED | F-1/A registration — capacity to sell shares, not a sale yet |
| Jun 16, 2014 | F-1/A → | REGISTERED | F-1/A registration — capacity to sell shares, not a sale yet |
| May 6, 2014 | F-1 → | REGISTERED | F-1 registration — capacity to sell shares, not a sale yet |
Two honest limits. (1) A 424B takedown can price shares or notes — EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.
BABA offering FAQ
When did BABA last execute an offering?
Per SEC filings, Alibaba Group Holding Ltd's most recent priced offering document is a 424B2 filed 2021-02-05. Note a 424B takedown can price shares or notes (debt) — the linked document says which.
When did BABA last announce or register an offering?
The most recent registration is a F-3ASR filed 2021-02-02. A registration is capacity to sell shares — not a sale.
Does an offering always mean dilution?
Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.
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