UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of report (Date of earliest event reported): June 29, 2023

 

AlTi Global, Inc.

(Exact name of registrant as specified in its charter)

 

 

Delaware		001-40103		92-1552220
(State or other jurisdiction of incorporation)		(Commission File Number)		(I.R.S. Employer Identification No.)

 

520 Madison Avenue, 21st Floor
New York, New York		10022
(Address of principal executive offices)		(Zip Code)

(212) 396-5904

(Registrant’s telephone number, including area code)

Not Applicable

(Former name or former address, if changed since last report)

 

Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class		Trading Symbol(s)		Name of each exchange on which registered
Class A common stock, par value $0.0001 per share		ALTI		Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

 

Item 5.07

Submission of Matters to a Vote of Security Holders.

On June 29, 2023, AlTi Global, Inc. (the “Company”), held its 2023 Annual Meeting of Stockholders (the “Annual Meeting”). The final voting results for the proposals submitted to a vote for the Company’s stockholders at the Annual Meeting are as follows:

Proposal 1: Election of 11 directors to the Board of Directors of the Company to hold office until the Company’s 2024 Annual Meeting of Stockholders or until their respective successors are elected and qualified:

 

Director		Votes For		Votes Withheld		Broker Non-Votes
Ali Bouzarif		74,444,468		517,703		537,891
Norma Corio		74,444,563		517,608		537,891
Nancy Curtin		74,543,645		418,526		537,891
Kevin T. Kabat		74,961,712		459		537,891
Timothy Keaney		74,961,712		459		537,891
Judy Lee		74,961,712		459		537,891
Spiros Maliagros		74,548,443		413,728		537,891
Craig Smith		74,444,463		517,708		537,891
Michael Tiedemann		74,567,819		394,352		537,891
Tracey Brophy Warson		74,961,714		457		537,891
Peter Yu		71,756,894		3,205,277		537,891

Proposal 2: Ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the 2023 fiscal year.

 

Votes For		Votes Against		Abstentions		Broker Non-Votes
75,499,463		599		0		0

No other matters were considered or voted upon at the Annual Meeting.

 

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: July 3, 2023