Alibaba Group Holdings Securities Litigation

PART II – CLAIMANT INFORMATION




PART III – SCHEDULE OF TRANSACTIONS IN ALIBABA ADS


Complete this Part III if and only if you purchased/acquired Alibaba ADS during the period from November 13, 2019, through and including December 23, 2020. Please include proper documentation with your Claim Form as described in detail in Part II – General Instructions, Paragraphs 9-11, above. Do not include information in this section regarding securities other than Alibaba ADS, as instructed below.


2b. CONVERSIONS OF ALIBABA ORDINARY SHARES TO ADS DURING THE SETTLEMENT CLASS PERIOD THROUGH MARCH 23, 2021 – Separately list each and every conversion of Alibaba Ordinary Shares to ADS from after the opening of trading on November 13, 2019, through and including the close of trading on March 23, 2021. (Must be documented.) If you acquired Alibaba ADS via conversion from Ordinary Shares, please also complete section 2c, below.


2c. PURCHASES OF ALIBABA ORDINARY SHARES THAT WERE CONVERTED TO ADS DURING THE SETTLEMENT CLASS PERIOD THROUGH MARCH 23, 2021 – If you identified Alibaba ADS acquired via conversion of Ordinary Shares in section 2b, above, separately list each and every purchase of Alibaba Ordinary Shares purchased on the Hong Kong Stock Exchange through and including the close of trading on March 23, 2021.









PART III – SCHEDULE OF TRANSACTIONS IN ALIBABA ADS


Complete this Part III if and only if you purchased/acquired Alibaba ADS during the period from November 13, 2019, through and including December 23, 2020. Please include proper documentation with your Claim Form as described in detail in Part II – General Instructions, Paragraphs 9-11, above. Do not include information in this section regarding securities other than Alibaba ADS, as instructed below.


1. BEGINNING HOLDINGS – State the total number of shares of Alibaba ADS held as of the close of trading on November 12, 2019. (Must be documented.) If none, write “zero” or “0.”


2a. PURCHASES/ACQUISITIONS OF ALIBABA ADS DURING THE SETTLEMENT CLASS PERIOD THROUGH MARCH 23, 2021 – Separately list each and every purchase/acquisition (including free receipts) of Alibaba ADS from after the opening of trading on November 13, 2019, through and including the close of trading on March 23, 2021. (Must be documented.) If you acquired Alibaba ADS via conversion from Alibaba Ordinary Shares, those transactions should be listed in section 2b, below.



Must click Add Purchase to submit your transactions.


Date of Purchase/Acquisition of ADS (List Chronologically) (Month/Day/Year) Number of ADS Purchased/Acquired Purchase/ Acquisition Price Per ADS Total Purchase/ Acquisition Price (excluding taxes, commissions, and fees) Confirm Proof of Purchase Enclosed Action




3a. SALES DURING THE SETTLEMENT CLASS PERIOD THROUGH MARCH 23, 2021 – Separately list each and every sale/disposition (including free deliveries) of Alibaba ADS from after the opening of trading on November 13, 2019, through and including the close of trading on March 23, 2021. (Must be documented.) If you cancelled Alibaba ADS via conversion to Alibaba Ordinary Shares, those transactions should be listed in section 3b, below.



Must click Add to save your information.


Date of Sale (List Chronologically) (Month/Day/Year) Number of Shares Sold Sale Price Per Share Total Sales Price (not deducting taxes, commissions, and fees) Confirm Proof of Sale Enclosed Action




3b. CANCELLATION OF ALIBABA ADS VIA CONVERSION TO ALIBABA ORDINARY SHARES DURING THE SETTLEMENT CLASS PERIOD THROUGH MARCH 23, 2021 – Separately list each and every cancellation of Alibaba ADS via conversion to Alibaba Ordinary Shares from after the opening of trading on November 13, 2019, through and including the close of trading on March 23, 2021. (Must be documented.)



Must click Add to save your information.


Date of ADS Cancellation (List Chronologically) (Month/Day/Year) Number of ADS Cancelled Action




4. ENDING HOLDINGS – State the total number of shares of Alibaba ADS held as of the close of trading on March 23, 2021. (Must be documented.) If none, write “zero” or “0.”




PART IV - UPLOAD SUPPORTING DOCUMENTS


All supporting documentation for your positions and transactions should be uploaded to this page prior to moving on to the next step in your online claim submission.

Please use the browse option, by clicking on “Select Files” in the box below, to upload your supporting documentation being submitted to verify all of your positions and transactions.




Files To Be Uploaded Size Action

PART V - RELEASE OF CLAIMS AND SIGNATURE
YOU MUST ALSO READ THE RELEASE AND CERTIFICATION BELOW

I (We) hereby acknowledge that as of the Effective Date of the Settlement, pursuant to the terms set forth in the Stipulation and Agreement of Settlement dated October 25, 2024 (“Stipulation”), I (we), on behalf of myself (ourselves), and on behalf of my (our) (the claimant(s)’) heirs, executors, predecessors, successors, assigns, parents, subsidiaries, current and former officers and directors, beneficiaries, and legal representatives, in their capacities as such, and any other person or entity legally entitled to bring Released Plaintiffs’ Claims (as defined in the Stipulation and in the Notice), shall be deemed to have, and by operation of law and of the judgment shall have, fully, finally, and forever compromised, settled, released, resolved, relinquished, waived, and discharged each and every Released Plaintiffs’ Claim against the Defendants and the other Defendants’ Releasees (as defined in the Stipulation and in the Notice), and shall forever be barred and enjoined from prosecuting any or all of the Released Plaintiffs’ Claims against any of the Defendants’ Releasees.


CERTIFICATION

By signing and submitting this Claim Form, the Claimant(s), or the person(s) who represent(s) the Claimant(s), certifies (certify) as follows:

1. that I (we) have read and understand the contents of the Notice and this Claim Form, including the releases provided for in the Settlement and the terms of the Plan of Allocation;

2. that the Claimant(s) is a (are) Settlement Class Member(s), as defined in the Notice and in paragraph 2 on page 2 of this Claim Form, and is (are) not excluded from the Settlement Class by definition or pursuant to request as set forth in the Notice and in paragraph 3 on page 2 of this Claim Form;

3. that I (we) own(ed) the Alibaba ADS identified in the Claim Form and have not assigned the claim against the Defendants’ Releasees to another, or that, in signing and submitting this Claim Form, I (we) have the authority to act on behalf of the owner(s) thereof;

4. that the Claimant(s) has (have) not submitted any other claim covering the same purchases/acquisitions of Alibaba ADS and knows (know) of no other person having done so on the Claimant’s (Claimants’) behalf;

5. that the Claimant(s) submit(s) to the jurisdiction of the Court with respect to Claimant’s (Claimants’) claim and for purposes of enforcing the releases set forth herein;

6. that I (we) agree to furnish such additional information with respect to this Claim Form as Lead Counsel, the Claims Administrator, or the Court may require;

7. that the Claimant(s) waive(s) the right to trial by jury, to the extent it exists, and agree(s) to the Court’s summary disposition of the determination of the validity or amount of the claim made by this Claim Form;

8. that I (we) acknowledge that the Claimant(s) will be bound by and subject to the terms of any judgment(s) that may be entered in the Action; and

9. that the Claimant(s) is (are) NOT subject to backup withholding under the provisions of Section 3406(a)(1)(C) of the Internal Revenue Code because (a) the Claimant(s) is (are) exempt from backup withholding or (b) the Claimant(s) has (have) not been notified by the IRS that he/she/it is subject to backup withholding as a result of a failure to report all interest or dividends or (c) the IRS has notified the Claimant(s) that he/she/it is no longer subject to backup withholding. If the IRS has notified the Claimant(s) that he, she, or it is subject to backup withholding, please strike out the language in the preceding sentence indicating that the claim is not subject to backup withholding in the certification above.

UNDER THE PENALTIES OF PERJURY, I (WE) CERTIFY THAT ALL OF THE INFORMATION PROVIDED BY ME (US) ON THIS CLAIM FORM IS TRUE, CORRECT, AND COMPLETE, AND THAT THE DOCUMENTS SUBMITTED HEREWITH ARE TRUE AND CORRECT COPIES OF WHAT THEY PURPORT TO BE.



If the Claimant is other than an individual, or is not the person completing this form, the following also must be provided:

REMINDER CHECKLIST:

1. Please sign the above release and certification. If this Claim Form is being made on behalf of joint Claimants, then both must sign.

2. Remember to attach only copies of acceptable supporting documentation as these documents will not be returned to you.

3. Please do not highlight any portion of the Claim Form or any supporting documents.

4. Do not send original security certificates or documentation. These items cannot be returned to you by the Claims Administrator.

5. Keep copies of the completed Claim Form and documentation for your own records.

6. The Claims Administrator will acknowledge receipt of your Claim Form by mail, within 60 days. Your claim is not deemed filed until you receive an acknowledgement postcard. If you do not receive an acknowledgement postcard within 60 days, please call the Claims Administrator toll-free at (877) 869-0223.

7. If your address changes in the future, or if this Claim Form was sent to an old or incorrect address, please send the Claims Administrator written notification of your new address. If you change your name, please inform the Claims Administrator.

8. If you have any questions or concerns regarding your claim, please contact the Claims Administrator at the address below, by email at info@AlibabaClassActionSettlement.com, toll-free at (877) 869-0223, or visit www.AlibabaClassActionSettlement.com. Please DO NOT call Alibaba, the Individual Defendants, or their counsel with questions regarding your claim.

THIS CLAIM FORM MUST BE MAILED TO THE CLAIMS ADMINISTRATOR BY FIRST-CLASS MAIL, POSTMARKED NO LATER THAN MARCH 26, 2025, ADDRESSED AS FOLLOWS:

In re Alibaba Group Holding Ltd. Sec. Litigation
c/o A.B. Data, Ltd.
P.O. Box 173006
Milwaukee, WI 53217
(877) 869-0223

OR SUBMITTED ONLINE AT WWW.ALIBABACLASSACTIONSETTLEMENT.COM ON OR BEFORE MARCH 26, 2025.

A Claim Form received by the Claims Administrator shall be deemed to have been submitted when posted, if a postmark date on or before March 26, 2025, is indicated on the envelope and it is mailed first-class and addressed in accordance with the above instructions. In all other cases, a Claim Form shall be deemed to have been submitted when actually received by the Claims Administrator.

You should be aware that it will take a significant amount of time to fully process all of the Claim Forms. Please be patient and notify the Claims Administrator of any change of address.