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

Role
Pres, Intl. 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, 08:01 PM
Date Of Original Report
Oct 31, 2023
Next filing
Nov 3, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ALTI Class A Common Stock 260K Oct 24, 2023 Direct
holding ALTI Class A Common Stock 10.8K Oct 24, 2023 See footnote F1
holding ALTI Class A Common Stock 6.91K Oct 24, 2023 See footnote F2

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 385K $0.00 See footnote F1, F3
holding ALTI Class B Common Stock Oct 24, 2023 Class A Common Stock 231K $0.00 See footnote F2, F3
holding ALTI Restricted Stock Units Oct 24, 2023 Class A Common Stock 39.9K Direct F4, F5, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents securities held by Swartberg Holding 1 AG. Swartberg Holding 1 AG is controlled by Robert Weeber. Consequently, Mr. Weeber may be deemed to share voting and dispositive control over the securities held by Swartberg Holding 1 AG, and thus to share beneficial ownership of such securities. Mr. Weeber disclaims beneficial ownership of the securities held by Swartberg Holding 1 AG, except to the extent of his pecuniary interest therein.
F2 Represents securities held by Swartberg Holding 2 AG. Swartberg Holding 2 AG is controlled by Robert Weeber. Consequently, Mr. Weeber may be deemed to share voting and dispositive control over the securities held by Swartberg Holding 2 AG, and thus to share beneficial ownership of such securities. Mr. Weeber disclaims beneficial ownership of the securities held by Swartberg Holding 2 AG, except to the extent of his pecuniary interest therein.
F3 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" together with Class B Unit, 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.
F4 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 31, 2023.
F5 The restricted stock units vest in three equal annual installments beginning February 15, 2024.
F6 Each restricted stock unit represents a contingent right to receive one share of ALTI Class A Common Stock.