Maliagros Spiros's Form 4 filing
AlTi Global, Inc. (ALTI) · filed Apr 4, 2024
- Accession no.
- 0000950170-24-041993
- Filed
- Apr 4, 2024
- Trade date
- Mar 11-Apr 3, 2024
- Filing delay
- 24 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $52.3K. It was filed 24 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Maliagros SpirosCIK 0001959722 | Director, Officer (President, Asset Management) |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 11, 2024 | Class A Common Stock | MOption exerciseAcquired | +400,000 | $0.00F1 | $0 | 523,284.74 | Direct | |
| Apr 2, 2024 | Class A Common Stock | SSaleDisposed | −5,350 | $5.14 | −$27,499 | 517,934.74 | Direct | |
| Apr 3, 2024 | Class A Common Stock | SSaleDisposed | −4,950 | $5.01 | −$24,799.5 | 512,984.74 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 11, 2024 | Class A Common Stock | MOption exerciseDisposed | −400,000 | $0.00 | $0 | 3,411,306 | 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.
- F1
Each Class B Unit (a "Class B Unit") of AlTi Global Capital, LLC ("Umbrella") is paired with a share of Class B Common Stock of the Issuer ("Class B Common Stock", and together with a Class B Unit, a "Paired Interest"). Pursuant to the Third Amended and Restated Limited Liability Agreement, dated as of July 31, 2023 (as amended from time to time, the "LLC Agreement"), of Umbrella, a Paired Interest is exchangeable at any time for a share of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis, subject to equitable adjustments for stock splits, stock dividends and reclassifications. As the holder exchanges the Paired Interests pursuant to the LLC Agreement, the shares of Class B Common Stock included in the Paired Interests will automatically be canceled and the Class B Common Units included in the Paired Interests shall be automatically transferred to the Issuer and converted into and become an equal number of Class A Common Units in Umbrella.
Referenced by the price of 1 transaction in Table I.