ALIBABA GROUP HOLDING LTD filed this 20-F on 06/15/2017
ALIBABA GROUP HOLDING LTD - 20-F - 20170615 - PART_III


PART III

ITEM 17    FINANCIAL STATEMENTS.

       We have provided financial statements pursuant to Item 18.

ITEM 18    FINANCIAL STATEMENTS.

       The following financial statements are filed as part of this annual report, together with the report of the independent auditors:

    Report of Independent Registered Public Accounting Firm

    Consolidated Income Statements for the years ended March 31, 2015, 2016 and 2017

    Consolidated Statements of Comprehensive Income for the years ended March 31, 2015, 2016 and 2017

    Consolidated Balance Sheets as of March 31, 2016 and 2017

    Consolidated Statements of Changes in Shareholders' Equity for the years ended March 31, 2015, 2016 and 2017

    Consolidated Statements of Cash Flows for the years ended March 31, 2015, 2016 and 2017

    Notes to the Consolidated Financial Statements

ITEM 19    EXHIBITS.

Exhibit
Number
  Description of Document
  1.1*   Form of Amended and Restated Memorandum and Articles of Association of the Registrant as currently in effect
        
  2.1*   Registrant's Form of Ordinary Share Certificate
        
  2.2†   Form of Deposit Agreement between the Registrant, the depositary and holders and beneficial holders of American Depositary Shares evidenced by American Depositary Receipts issued thereunder, including the form of American Depositary Receipt
        
  2.3†   Form of American depositary receipt evidencing American depositary shares (included in Exhibit 2.2)
        
  2.4*   Amended and Restated Registration Rights Agreement among the Registrant and the persons whose names are set out in Schedule I thereto, dated September 18, 2012
        
  2.5*   Voting Agreement by and among the Registrant, Yahoo! Inc., SoftBank Corp., the Management Members as defined therein and certain other shareholders of the Registrant
        
  2.6††   Indenture, dated as of November 28, 2014 between the Registrant and Bank of New York Mellon as Trustee
        
  2.7††   First Supplemental Indenture, dated as of November 28, 2014 between the Registrant and Bank of New York Mellon as Trustee
        
  2.8††   Second Supplemental Indenture, dated as of November 28, 2014 between the Registrant and Bank of New York Mellon as Trustee
        
  2.9††   Third Supplemental Indenture, dated as of November 28, 2014 between the Registrant and Bank of New York Mellon as Trustee
        
  2.10††   Fourth Supplemental Indenture, dated as of November 28, 2014 between the Registrant and Bank of New York Mellon as Trustee
 
   

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Exhibit
Number
  Description of Document
  2.11††   Fifth Supplemental Indenture, dated as of November 28, 2014 between the Registrant and Bank of New York Mellon as Trustee
        
  2.12††   Sixth Supplemental Indenture, dated as of November 28, 2014 between the Registrant and Bank of New York Mellon as Trustee
        
  2.13††   Form of Floating Rate Senior Notes Due 2017 (included in Exhibit 2.7)
        
  2.14††   Form of 1.625% Senior Notes Due 2017 (included in Exhibit 2.8)
        
  2.15††   Form of 2.500% Senior Notes Due 2019 (included in Exhibit 2.9)
        
  2.16††   Form of 3.125% Senior Notes Due 2021 (included in Exhibit 2.10)
        
  2.17††   Form of 3.600% Senior Notes Due 2024 (included in Exhibit 2.11)
        
  2.18††   Form of 4.500% Senior Notes Due 2034 (included in Exhibit 2.12)
        
  2.19†††   Registration Rights Agreement dated as of November 28, 2014 between the Registrant and Morgan Stanley & Co. International plc, Citigroup Global Markets Inc., Deutsche Bank AG, Singapore Branch and J.P. Morgan Securities LLC
        
  4.1*   2011 Equity Incentive Plan of the Registrant
        
  4.2*   Senior Management Equity Incentive Plan
        
  4.3*   Partner Capital Investment Plan
        
  4.4*   Form of Indemnification Agreement between the Registrant and its directors and executive officers
        
  4.5*   Form of Employment Agreement between the Registrant and its executive officers
        
  4.6*   English translation of Loan Agreements entered into by and among Jack Ma, Simon Xie and Taobao (China) Software Co., Ltd., dated January 1, 2009, as amended on October 11, 2010 and March 13, 2013
        
  4.7*   English translation of Exclusive Call Option Agreement entered into by and among Jack Ma, Simon Xie, Taobao (China) Software Co., Ltd. and Zhejiang Taobao Network Co., Ltd., dated January 21, 2009
        
  4.8*   English translation of Proxy Agreement entered into by and among Jack Ma, Simon Xie, Taobao (China) Software Co., Ltd. and Zhejiang Taobao Network Co., Ltd., dated January 21, 2009
        
  4.9*   English translation of Equity Pledge Agreements entered into by and among Jack Ma, Simon Xie, Taobao (China) Software Co., Ltd. and Zhejiang Taobao Network Co., Ltd., dated January 21, 2009, as amended on March 13, 2013
        
  4.10*   English translation of Exclusive Technical Services Agreement entered into by and between Taobao (China) Software Co., Ltd. and Zhejiang Taobao Network Co., Ltd., dated January 21, 2009
        
  4.11*   Commercial Agreement by and among the Registrant, Zhejiang Alibaba E-Commerce Co., Ltd. and Alipay.com Co., Ltd., dated July 29, 2011
        
  4.12*   Amendment to Commercial Agreement by and among the Registrant, Zhejiang Alibaba E-Commerce Co., Ltd. and Alipay.com Co., Ltd., dated December 14, 2011
        
  4.13††   English Translation of Loan Agreement between Simon Xie and Taobao (China) Software Co., Ltd., dated April 22, 2015
        
  4.14*   Schedules of Material Differences of Contractual Arrangements of Material Variable Interest Entities of the Registrant
 
   

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Exhibit
Number
  Description of Document
  4.15*   Share and Asset Purchase Agreement by and among the Registrant, Zhejiang Ant Small and Micro Financial Services Group Co., Ltd., Yahoo! Inc., SoftBank Corp. and the other Parties named therein, dated August 12, 2014
        
  4.16*   Second Amendment to Commercial Agreement by and among the Registrant, Zhejiang Ant Small and Micro Financial Services Group Co., Ltd. (formerly known as Zhejiang Alibaba E-Commerce Co., Ltd.) and Alipay.com Co., Ltd., dated August 12, 2014
        
  4.17*   Amended and Restated Intellectual Property License and Software Technology Services Agreement by and among the Registrant, Zhejiang Ant Small and Micro Financial Services Group Co., Ltd. and Alipay.com Co.,  Ltd., dated August 12, 2014
        
  4.18*   Data Sharing Agreement by and between the Registrant and Zhejiang Ant Small and Micro Financial Services Group Co., Ltd., dated August 12, 2014
        
  4.19*   English Translation of Software System Use and Service Agreement between Alibaba (China) Co., Ltd. and Chongqing Alibaba Small Loan Co. Ltd., dated August 12, 2014
        
  4.20*   Form of 2014 Post-IPO Equity Incentive Plan
        
  4.21*   Form of Share Retention Agreement between the Registrant and certain members of management
        
  4.22††   English Translation of Pledge Agreement between ICBC Credit Suisse Investment Management Co., Ltd. and Taobao (China) Software Co., Ltd., dated May 28, 2015
        
  4.23†††   English translation of Share Subscription Agreement between Suning Commerce Group Co., Ltd. And Taobao (China) Software Co., Ltd., dated August 9, 2015
        
  4.24†††   Investment Agreement by and between Alibaba Group Holding Limited and Suning Commerce Group Co., Ltd., dated August 9, 2015
        
  4.25†††   Share Subscription Agreement between Alibaba Group Holding Limited and Zhejiang Ant Small and Micro Financial Services Group Co., Ltd., dated September 7, 2015
        
  4.26††††   Agreement and Plan of Merger among Ali YK Investment Holding Limited, Ali YK Subsidiary Holding Limited, Youku Tudou Inc. and Alibaba Investment Limited, dated November 6, 2015
        
  4.27††††   US$3,000,000,000 Facility Agreement between the Registrant and other parties named therein, dated March 9, 2016
        
  4.28††††   Syndication and Amendment Agreement, dated May 3, 2016, in respect of a US$3,000,000,000 Facility Agreement dated March 9, 2016
        
  4.29††††   Amended and Restated Investment Agreement by and between Alibaba Group Holding Limited and Suning Commerce Group Co., Ltd., dated August 9, 2015 and amended and restated as of May 19, 2016
        
  4.30   Share Purchase Agreement between the Registrant and SB China Holdings Pte Ltd, acting through its branch in the United Kingdom named as SB China Holdings Pte Ltd UK, dated May 31, 2016
        
  4.31   US$5,150,000,000 Facility Agreement between the Registrant and other parties named therein, dated April 7, 2017
        
  8.1   Significant Subsidiaries and Consolidated Entities of the Registrant
        
  11.1*   Code of Ethics of the Registrant
        
  12.1   Principal Executive Officer Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
        
  12.2   Principal Financial Officer Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
        
  13.1**   Principal Executive Officer Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
        
  13.2**   Principal Financial Officer Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
 
   

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Exhibit
Number
  Description of Document
  15.1   Consent of PricewaterhouseCoopers — Independent Registered Public Accounting Firm
        
  15.2   Consent of Fangda Partners
        
  15.3   Consent of Maples and Calder (Hong Kong) LLP
        
  101.INS   XBRL Instance Document
        
  101.SCH   XBRL Taxonomy Extension Schema Document
        
  101.CAL   XBRL Taxonomy Extension Calculation Linkbase Document
        
  101.DEF   XBRL Taxonomy Extension Definition Linkbase Document
        
  101.LAB   XBRL Taxonomy Extension Label Linkbase Document
        
  101.PRE   XBRL Taxonomy Extension Presentation Linkbase Document

*
Previously filed with the Registration Statement on Form F-1 (File No. 333-195736), initially filed on May 6, 2014 and incorporated herein by reference.
Previously filed with the Registration Statement on Form F-6 (File No. 333-198401), dated August 27, 2014 and incorporated herein by reference.
††
Previously filed with our Annual Report on Form 20-F for the Fiscal Year Ended on March 31, 2015 (File No. 001-36614), filed on June 25, 2015 and incorporated herein by reference.
†††
Previously filed with the Registration Statement on Form F-4 (File No. 333-266575), initially filed on August 26, 2015 and incorporated herein by reference.
††††
Previously filed with our Annual Report on Form 20-F for the Fiscal Year Ended on March 31, 2016 (File No. 001-36614), filed on May 24, 2016 and incorporated herein by reference.
**
Furnished with this annual report on Form 20-F

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