Form 4 for ALTI AlTi Global, Inc.
Accepted 2023-01-04 00:00:00 ET · period of report 2023-01-03 · accession 0000899243-23-000709 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2023-01-04 | 2023-01-03 | ALTI | CGC Sponsor LLC | 10% | A - Grant | $1.91 | +14.7K | 6.43M | +0.2% | +$28.0K |
| DI | 2023-01-04 | 2023-01-03 | ALTI | CGC Sponsor LLC | 10% | C - Cnv Deriv | $0.00 | +6.43M | 6.43M | New | $0 |
| DMI | 2023-01-04 | 2023-01-03 | ALTI | CGC Sponsor LLC | 10% | J - Other | $0.00 | -11.02M | 0 | -100% | $0 |
| DI | 2023-01-04 | 2023-01-03 | ALTI | CGC Sponsor LLC | 10% | C - Cnv Deriv | $0.00 | -6.43M | 2.12M | -75% | $0 |
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 Common Stock | 2023-01-03 | A | A | 11,840 | $0.00 | 109,192 | I See Footnote | — | — | (F4) These shares of Class A Common Stock were acquired upon consummation of the Business Combination for no additional consideration. (F5) Represents securities held by Pangaea Three, LP. Pangaea Three-B, LP is controlled by Peter Yu. 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 Common Stock | 2023-01-03 | A | A | 2,861 | $9.80 | 6,434,292 | I See Footnote | — | — | (F3) These shares of Class A Common Stock were acquired by the Sponsor in a private placement upon consummation of the Business Combination. (F2) Represents securities held by the Sponsor. Pangaea Three-B, LP is the sole member of the Sponsor, and is controlled by Peter Yu. Consequently, each of Pangaea Three-B, LP and Mr. Yu may be deemed to share voting and dispositive control over the securities held by the Sponsor, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his pecuniary interest therein. |
| 3 | Common | Class A Common Stock | 2023-01-03 | C | A | 6,431,431 | $0.00 | 6,431,431 | I See Footnote | — | — | (F1) The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-262644) (the "Registration Statement") and have no expiration date. On January 3, 2023, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,431,431 Class B ordinary shares held by CGC Sponsor LLC (the "Sponsor") converted into Class A Common Stock on a one-for-one basis. (F2) Represents securities held by the Sponsor. Pangaea Three-B, LP is the sole member of the Sponsor, and is controlled by Peter Yu. Consequently, each of Pangaea Three-B, LP and Mr. Yu may be deemed to share voting and dispositive control over the securities held by the Sponsor, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his pecuniary interest therein. |
| 4 | Derivative | Class B ordinary shares | 2023-01-03 | J | D | 2,118,569 | $0.00 | 0 | I See Footnote | — · — to — | 2,118,569 Class A Common Stock | (F6) The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement and have no expiration date. On January 3, 2023, the Sponsor forfeited 2,118,569 Class B ordinary shares in connection with the consummation of the Business Combination. (F2) Represents securities held by the Sponsor. Pangaea Three-B, LP is the sole member of the Sponsor, and is controlled by Peter Yu. Consequently, each of Pangaea Three-B, LP and Mr. Yu may be deemed to share voting and dispositive control over the securities held by the Sponsor, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his pecuniary interest therein. |
| 5 | Derivative | Warrants | 2023-01-03 | J | D | 8,900,000 | $0.00 | 0 | I See Footnote | $11.50 · — to — | 8,900,000 Class A Common Stock | (F7) On January 3, 2023, the Sponsor forfeited 8,900,000 warrants in connection with the consummation of the Business Combination. (F2) Represents securities held by the Sponsor. Pangaea Three-B, LP is the sole member of the Sponsor, and is controlled by Peter Yu. Consequently, each of Pangaea Three-B, LP and Mr. Yu may be deemed to share voting and dispositive control over the securities held by the Sponsor, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his pecuniary interest therein. (F8) Each warrant shall become exercisable on February 2, 2023, 30 days after the completion of the Business Combination as described in the Issuer's Registration Statement. Each warrant shall expire on January 3, 2028, five years after the completion of the Business Combination, or earlier upon redemption or liquidation, as described in the Issuer's Registration Statement. |
| 6 | Derivative | Class B ordinary shares | 2023-01-03 | C | D | 6,431,431 | $0.00 | 2,118,569 | I See Footnote | — · — to — | 6,431,431 Class A Common Stock | (F1) The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-262644) (the "Registration Statement") and have no expiration date. On January 3, 2023, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,431,431 Class B ordinary shares held by CGC Sponsor LLC (the "Sponsor") converted into Class A Common Stock on a one-for-one basis. (F2) Represents securities held by the Sponsor. Pangaea Three-B, LP is the sole member of the Sponsor, and is controlled by Peter Yu. Consequently, each of Pangaea Three-B, LP and Mr. Yu may be deemed to share voting and dispositive control over the securities held by the Sponsor, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his pecuniary interest therein. |