SEC Filing | AlTi Global, Inc.

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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^*

Tiedemann Michael

(Last)

(First)

(Middle)

C/O ALTI GLOBAL, INC.

520 MADISON AVENUE, 26TH FLOOR

(Street)

NEW YORK

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
	Officer (give title below)	Other (specify below)
Chief Executive Officer

3. Date of Earliest Transaction (Month/Day/Year)
06/03/2024

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
	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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock	06/03/2024		P		22,721	A	$4.87⁽¹⁾	475,234.53	D
Class A Common Stock	06/03/2024		P		24,652	A	$4.86⁽²⁾	499,886.53	D
Class A Common Stock								63,326	I	See FN⁽³⁾
Class A Common Stock								16,979	I	See FN⁽³⁾
Class A Common Stock								42,918	I	See FN⁽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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽⁴⁾	06/04/2024		A		173,729		⁽⁵⁾	⁽⁵⁾	Class A Common Stock	173,729	$0	173,729	D
Peformance Restricted Stock Unit	⁽⁶⁾	06/05/2024		A		458,733.21		⁽⁷⁾	⁽⁷⁾	Class A Common Stock	458,733.21	$0	458,733.21	D

Explanation of Responses:

1. The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $4.69 to $5.00, inclusive. The reporting person undertakes to provide to AlTi Global, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote(1) to this Form 4.

2. The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $4.70 to $5.00, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote(2) to this Form 4.

3. The reporting person's indirect beneficial ownership includes (i) 63,326 shares of Class A common stock of the Company ("Class A Common Stock") for MGT 2012 DE Trust; (ii) 16,979 shares of Class A Common Stock for CHT Fam Tst Ar 3rd fbo MGT; and (iii) 42,918 shares of Class A Common Stock for Chauncey Close, LLC. The reporting person disclaims beneficial ownership of the securities held by the MGT 2012 DE Trust, the CHT Fam Tst Ar 3rd fbo MGT and Chauncey Close, LLC, except to the extent of any pecuniary interest the reporting person may have therein.

4. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's Class A Common Stock.

5. The RSUs vest in three equal annual installments beginning February 15, 2025.

6. Each performance restricted stock unit ("PRSU") represents a contingent right to receive one share of the Company's Class A Common Stock.

7. 33.33% of the PRSUs shall be eligible to vest at the end of each of three annual performance periods beginning on March 31, 2025, subject to the reporting person's continued service with the Company through the applicable performance period, based on the total shareholder return of the Company's Class A Common Stock exceeding certain thresholds. The maximum number of units that may vest over three years is 917,466.42 (200% of the target number).

Remarks:

	/s/ Colleen Graham, Attorney-in-fact	06/05/2024
	** 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).
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