Yu Peter's Form 4 filing
AlTi Global, Inc. (ALTI) · filed Dec 20, 2022
- Accession no.
- 0000899243-22-039149
- Filed
- Dec 20, 2022, 9:00 PM ET
- Trade date
- Dec 16-20, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 3 derivative transactions. Open-market purchases total $45.8K. 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 19, 2022 | Class A ordinary shares | PPurchaseAcquired | +1,017 | $10.00 | +$10,167.05 | 87,234 | Direct | |
| Dec 20, 2022 | Class A ordinary shares | PPurchaseAcquired | +3,555 | $10.03 | +$35,644.56 | 90,789 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 16, 2022 | Class A Ordinary Shares | PPurchaseAcquired | +75,518 | $0.55 | +$41,534.9 | 11,471,994 | Direct | |
| Dec 19, 2022 | Class A ordinary shares | PPurchaseAcquired | +115,422 | $0.57 | +$65,790.54 | 11,587,416 | Direct | |
| Dec 20, 2022 | Class A ordinary shares | PPurchaseAcquired | +215,000 | $0.629 | +$135,235 | 11,802,416 | 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.
No transaction price on this filing refers to a footnote.