Brooke Connell - Oct 24, 2023 Form 3/A Insider Report for AlTi Global, Inc. (ALTI)

Role
Pres, US Wealth Mmgt
Signature
/s/ Colleen Graham, Attorney-in-fact
Stock symbol
ALTI
Transactions as of
Oct 24, 2023
Transactions value $
$0
Form type
3/A
Date filed
2/21/2024, 08:00 PM
Date Of Original Report
Oct 26, 2023
Next filing
Feb 21, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ALTI Class A Common Stock 136K Oct 24, 2023 Direct

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
holding ALTI Class B Common Stock Oct 24, 2023 Class A Common Stock 816K $0.00 Direct F1
holding ALTI Restricted Stock Units Oct 24, 2023 Class A Common Stock 115K Direct F2, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 collectively, the "Paired Interests"). 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.
F2 This Form 3 Amendment is being filed solely to report the restricted stock units granted to the Reporting Person on May 31, 2023 that were inadvertently omitted from the Form 3 filed by the Reporting Person on October 26, 2023.
F3 The restricted stock units vest in three equal annual installments beginning February 15, 2024.
F4 Each restricted stock unit represents a contingent right to receive one share of ALTI Class A Common Stock.