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*
Weeber Robert

(Last) (First) (Middle)
C/O ALTI GLOBAL, INC.
520 MADISON AVENUE, 26TH FLOOR

(Street)
NEW YORK 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 10% Owner
X Officer (give title below) Other (specify below)
Pres, Intl. Wealth Mmgt
3. Date of Earliest Transaction (Month/Day/Year)
11/01/2023
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
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 11/01/2023 J(1) 152,866(1) A $7.85(1) 413,121 D
Class A Common Stock 10,825 I See footnote(2)
Class A Common Stock 6,905 I See footnote(3)
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
Explanation of Responses:
1. 1. The shares were issued pursuant to a Share Purchase Agreement, dated July 28, 2023, by and between AlTi Global Wealth Management Holdings Limited and Robert Weeber, in exchange for consideration of $1,200,000. The number of shares issued was determined by dividing such amount by the average "mid-market closing" ALTI Nasdaq share price calculated during the 20 consecutive trading days prior to August 1, 2023.
2. 2. 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.
3. 3. 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.
Remarks:
/s/ Colleen Graham, Attorney-in-fact 11/03/2023
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.