Filing Details
- Accession Number:
- 0000950170-24-041993
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-04-04 19:43:53
- Reporting Period:
- 2024-03-11
- Accepted Time:
- 2024-04-04 19:43:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1838615 | Alti Global Inc. | ALTI | Investment Advice (6282) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1959722 | Spiros Maliagros | C/O Alti Global, Inc. 520 Madison Avenue, 26Th Floor New York NY 10022 | President, Asset Management | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2024-03-11 | 400,000 | $0.00 | 523,285 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2024-04-02 | 5,350 | $5.14 | 517,935 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2024-04-03 | 4,950 | $5.01 | 512,985 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | Disposition | 2024-03-11 | 400,000 | $0.00 | 400,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,411,306 | No | 4 | M | Direct |
Footnotes
- Each Class B Unit (a "Class B Unit") of AlTi Global Capital, LLC ("Umbrella") is paired with a share of Class B Common Stock of the Issuer ("Class B Common Stock", and together with a Class B Unit, a "Paired Interest"). Pursuant to the Third Amended and Restated Limited Liability Agreement, dated as of July 31, 2023 (as amended from time to time, the "LLC Agreement"), of Umbrella, a Paired Interest is exchangeable at any time for a share of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis, subject to equitable adjustments for stock splits, stock dividends and reclassifications. As the holder exchanges the Paired Interests pursuant to the LLC Agreement, the shares of Class B Common Stock included in the Paired Interests will automatically be canceled and the Class B Common Units included in the Paired Interests shall be automatically transferred to the Issuer and converted into and become an equal number of Class A Common Units in Umbrella.
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