Craig Lindsay Smith - Jun 7, 2023 Form 4 Insider Report for AlTi Global, Inc. (ALTI)

Role
Chair of Global Wealth Management, Director
Signature
/s/ Colleen Graham, attorney in fact
Stock symbol
ALTI
Transactions as of
Jun 7, 2023
Transactions value $
$0
Form type
4
Date filed
2/28/2024, 05:01 PM
Previous filing
Jun 2, 2023
Next filing
Feb 21, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALTI Class A Common Stock Award +54.4K +419.16% 67.4K Jun 7, 2023 Direct F1, F3

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 Warrant Disposed to Issuer -218K -100% 0 Jun 7, 2023 Class A Common Stock 218K Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On June 7, 2023, pursuant to the Issuer's previously announced exchange offer, the Reporting Person exchanged 217,548 private placement warrants, which previously entitled the reporting person to purchase one share of Class A Common Stock, par value $0.0001 per share, of the Issuer ("Class A Common Stock") per warrant, at a price of $11.50 per share, for 54,387 shares of Class A Common Stock.
F2 The warrants became exercisable on February 2, 2023, and will expire on February 2, 2028 or earlier upon redemption or liquidation.
F3 The beneficial ownership total disclosed reflects the Reporting Person's ownership through the reporting date, including the shares of ALTI Class A Common Stock received (net the shares withheld for tax purposes) through the vesting transaction previously reported on February 21, 2024.

Remarks:

Chair of Global Wealth Management