Peter Yu - May 31, 2023 Form 4 Insider Report for AlTi Global, Inc. (ALTI)

Role
Director, 10%+ Owner
Signature
/s/ Adam Namoury, Attorney-in-Fact
Stock symbol
ALTI
Transactions as of
May 31, 2023
Transactions value $
$0
Form type
4
Date filed
6/1/2023, 05:48 PM
Previous filing
May 31, 2023
Next filing
Jun 9, 2023

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ALTI Warrants Other -35.1K -6.43% 511K May 31, 2023 Class A Common Stock 35.1K $11.50 See Footnote F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The warrants were transferred by Pangaea Three-B, LP in exchange for certain option agreements, dated September 19, 2021, by and between CGC Sponsor LLC and certain of the Issuer's investors, as amended on October 25, 2022, as described in the Issuer's Registration Statement on Form S-4 (File No. 333-271672).
F2 Each warrant expires on January 3, 2028, or earlier upon redemption or liquidation, as described in the Issuer's Registration Statement on Form S-4 (File No. 333-262644).
F3 Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea Three-B, LP, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea Three-B, LP, except to the extent of his pecuniary interest therein.