Statement of Changes in Beneficial Ownership (4)
June 09 2023 - 4:08PM
Edgar (US Regulatory)
FORM 4
☐
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Global Goldfield Ltd |
2. Issuer Name and Ticker or Trading Symbol
AlTi Global, Inc.
[
ALTI
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
22/F SOUTH CHINA BUILDING, 1-3 WYNDHAM STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/7/2023 |
(Street)
CENTRAL, K3 000000 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
(City)
(State)
(Zip)
|
Rule 10b5-1(c) Transaction Indication
☐
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Class A Common Stock | 6/7/2023 | | A | | 246103 (1) | A | (1) | 10426163 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Warrant | (1) | 6/7/2023 | | D | | | 984414 | (2) | (2) | Class A Common Stock | 984414 | (1) | 0 | D | |
Explanation of Responses: |
(1) | On June 7, 2023, pursuant to the Issuer's previously announced exchange offer, the reporting persons exchanged 984,414 private placement warrants, which previously entitled the reporting persons to purchase one share of Class A Common Stock, par value $0.0001 per share, of the Issuer ("Class A Common Stock") per warrant, at a price of $11.50 per share, for 246,103 shares of Class A Common Stock. |
(2) | The warrants became exercisable on March 04, 2023, and will expire on January 3, 2028 or earlier upon redemption or liquidation. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Global Goldfield Ltd 22/F SOUTH CHINA BUILDING 1-3 WYNDHAM STREET CENTRAL, K3 000000 |
| X |
|
|
Yeung Sai Hong 22/F SOUTH CHINA BUILDING 1-3 WYNDHAM STREET CENTRAL, K3 000000 |
| X |
|
|
Signatures
|
/s/ YEUNG Sai Hong, Global Goldfield Limited | | 6/9/2023 |
**Signature of Reporting Person | Date |
/s/ YEUNG Sai Hong, YEUNG Sai Hong | | 6/9/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Cartesian Growth (NASDAQ:GLBL)
Historical Stock Chart
From Nov 2024 to Dec 2024
Cartesian Growth (NASDAQ:GLBL)
Historical Stock Chart
From Dec 2023 to Dec 2024
Real-Time news about Cartesian Growth Corporation (NASDAQ): 0 recent articles
More Alti Global, Inc. News Articles