SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
ilWaddi Cayman Holdings

(Last) (First) (Middle)
C/O GELLER ADVISORS
909 TIILRD A VENUE

(Street)
NEWYORK NY 10022

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AlTi Global, Inc. [ ALTI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
05/24/2023
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Rule 10b5-1(c) Transaction Indication

  
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 06/07/2023 A 638,578(2) A (2) 17,893,265 D(1)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Warrant (2) 06/07/2023 D 1,104,315 (3) (3) Class A Common Stock 1,104,315 (2) 0 D(1)
Option (right to buy) (5) 05/24/2023 D 1,450,000 (4) (4) Class A Common Stock 1,450,000 (5) 0 D(1)
Warrant (5) 05/24/2023 A 1,450,000 (3) (3) Class A Common Stock 1,450,000 (5) 1,450,000 D(1)
Warrant (2) 06/07/2023 D 1,450,000 (3) (3) Class A Common Stock 1,450,000 (2) 0 D(1)
1. Name and Address of Reporting Person*
ilWaddi Cayman Holdings

(Last) (First) (Middle)
C/O GELLER ADVISORS
909 TIILRD A VENUE

(Street)
NEWYORK NY 10022

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Al-Thani Jassim Abdulaziz

(Last) (First) (Middle)
C/O GELLER ADVISORS
909 TIILRD A VENUE

(Street)
NEWYORK NY 10022

(City) (State) (Zip)
Explanation of Responses:
1. H.E. Sheikh Jassim Abdulaziz J.H. Al-Thani is the sole owner of IlWaddi Cayman Holdings.
2. On June 7, 2023, pursuant to the Issuer's previously announced exchange offer (the "Offer") , the reporting persons exchanged 2,554,315 warrants, consisting of (i) 1,104,315 private placement warrants and (ii) 1,450,000 public warrants, which previously entitled the reporting persons 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 638,578 shares of Class A Common Stock.
3. The warrants became exercisable on February 2, 2023, and will expire on January 3, 2028 or earlier upon redemption or liquidation.
4. The Option may be exercised only during the period commencing on the earlier to occur of (A) one year after the date of the closing of the Issuer's business combination completed on January 3, 2023 (the "Business Combination") or (B) such time, at least 150 days after the closing of the Business Combination, that the closing price of the shares of Class A Common Stock equals or exceeds S 12.00 per share (as adjusted for share splits, share dividends, reorganizations and recapitalizations) for any 20 trading days within any 30-trading day period and terminating at 5:00 p.m., New York City time on the date that is five years after the closing of the Business Combination.
5. The reporting persons disposed of 1,450,000 options in exchange for public warrants at a ratio of one share subject to the public warrants for one share subject to certain option agreements in a private exchange offer before the consummation of the Offer.
Remarks:
Exhibit 24 Power of Attorney filed herewith.
/s/ H.E. Sheikh Jassim Abdulaziz J.H. AI-Thani for IlWaddi Cayman Holdings Inc 06/09/2023
By: Sheikh Jassim Abdulaziz J.H. Al-Thani, as sole owner /s/ H.E. Sheikh Jassim Abdulaziz J.H. AI-Thani 06/09/2023
** Signature of Reporting Person Date
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