Yu Peter's Form 4 filing
AlTi Global, Inc. (ALTI) · filed Nov 21, 2022
- Accession no.
- 0000899243-22-036589
- Filed
- Nov 21, 2022, 9:00 PM ET
- Trade date
- Nov 17-21, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 5 derivative transactions. Open-market purchases total $867.1K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Yu PeterCIK 0001426890 | Director, Officer (Chief Executive Officer), 10% Owner |
| Pangaea Three-B, LPCIK 0001754782 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 17, 2022 | Class A ordinary shares | PPurchaseAcquired | +22,325 | $10.03 | +$223,895.19 | 22,325 | Direct | |
| Nov 18, 2022 | Class A ordinary shares | PPurchaseAcquired | +60,000 | $10.07 | +$604,164 | 82,325 | Direct | |
| Nov 18, 2022 | Class A ordinary shares | PPurchaseAcquired | +1,995 | $9.87F2 | +$19,692.84 | 84,320 | Direct | |
| Nov 21, 2022 | Class A ordinary shares | PPurchaseAcquired | +1,897 | $10.19F2 | +$19,328.34 | 86,217 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 17, 2022 | Class A Ordinary Shares | PPurchaseAcquired | +316,375 | $0.495 | +$156,605.63 | 11,000,310 | Direct | |
| Nov 18, 2022 | Class A ordinary shares | PPurchaseAcquired | +265,848 | $0.552 | +$146,748.1 | 11,266,158 | Direct | |
| Nov 18, 2022 | Class A ordinary shares | PPurchaseAcquired | +665 | $9.87F2 | +$6,564.28 | 11,266,823 | Direct | |
| Nov 21, 2022 | Class A ordinary shares | PPurchaseAcquired | +112,609 | $0.548 | +$67,189.73 | 11,379,432 | Direct | |
| Nov 21, 2022 | Class A ordinary shares | PPurchaseAcquired | +632 | $10.19F2 | +$6,439.38 | 11,380,064 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 2 transactions in Table I and 2 transactions in Table II.
Remarks
See Exhibit 24.1 - Power of Attorney See Exhibit 24.2 - Power of Attorney