8-K
NASDAQ false 0001838615 0001838615 2023-06-29 2023-06-29

 

 

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.

 

ALTI GLOBAL, INC.
By:  

/s/ Michael Tiedemann

  Name: Michael Tiedemann
  Title: Chief Executive Officer

Date: July 3, 2023