Form 4 for ALTI AlTi Global, Inc.
Accepted 2022-11-21 00:00:00 ET · period of report 2022-11-17 · accession 0000899243-22-036589 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-11-21 | 2022-11-17+ | ALTI | Yu Peter | Officer, Dir, 10% | P - Purchase | $10.06 | +86.2K | 22.3K | New | +$867.1K |
| DM | 2022-11-21 | 2022-11-17+ | ALTI | Yu Peter | Officer, Dir, 10% | P - Purchase | $0.545 | +706.1K | 11.27M | +7% | +$384.8K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A ordinary shares | 2022-11-18 | P | A | 1,995 | $9.87 | 84,320 | D | — | — | (F2) Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. (F1) Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea Three-B, LP, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea Three-B, LP, except to the extent of his pecuniary interest therein. |
| 2 | Common | Class A ordinary shares | 2022-11-21 | P | A | 1,897 | $10.19 | 86,217 | D | — | — | (F2) Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. (F1) Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea Three-B, LP, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea Three-B, LP, except to the extent of his pecuniary interest therein. |
| 3 | Common | Class A ordinary shares | 2022-11-18 | P | A | 60,000 | $10.07 | 82,325 | D | — | — | (F1) Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea Three-B, LP, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea Three-B, LP, except to the extent of his pecuniary interest therein. |
| 4 | Common | Class A ordinary shares | 2022-11-17 | P | A | 22,325 | $10.03 | 22,325 | D | — | — | (F1) Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea Three-B, LP, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea Three-B, LP, except to the extent of his pecuniary interest therein. |
| 5 | Derivative | Warrants | 2022-11-21 | P | A | 122,609 | $0.55 | 11,379,432 | D | $11.50 · — to — | 112,609 Class A ordinary shares | (F1) Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea Three-B, LP, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea Three-B, LP, except to the extent of his pecuniary interest therein. (F3) Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. (F4) The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. |
| 6 | Derivative | Warrants | 2022-11-17 | P | A | 316,375 | $0.5 | 11,000,310 | D | $11.50 · — to — | 316,375 Class A Ordinary Shares | (F1) Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea Three-B, LP, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea Three-B, LP, except to the extent of his pecuniary interest therein. (F3) Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. (F4) The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. |
| 7 | Derivative | Warrants | 2022-11-18 | P | A | 665 | $9.87 | 11,266,823 | D | $11.50 · — to — | 665 Class A ordinary shares | (F2) Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. (F1) Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea Three-B, LP, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea Three-B, LP, except to the extent of his pecuniary interest therein. (F3) Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. (F4) The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. |
| 8 | Derivative | Warrants | 2022-11-21 | P | A | 632 | $10.19 | 11,380,064 | D | $11.50 · — to — | 632 Class A ordinary shares | (F2) Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. (F1) Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea Three-B, LP, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea Three-B, LP, except to the extent of his pecuniary interest therein. (F3) Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. (F4) The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. |
| 9 | Derivative | Warrants | 2022-11-18 | P | A | 265,848 | $0.55 | 11,266,158 | D | $11.50 · — to — | 265,848 Class A ordinary shares | (F1) Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea Three-B, LP, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea Three-B, LP, except to the extent of his pecuniary interest therein. (F3) Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. (F4) The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. |