Yu Peter 4
4 · AlTi Global, Inc. · Filed Jun 9, 2023
Insider Transaction Report
Form 4
Yu Peter
DirectorChief Executive Officer10% Owner
Transactions
- Award
Class A Common Stock
2023-06-07+127,680→ 502,108 total(indirect: See Footnote) - Disposition to Issuer
Warrants
2023-06-07−510,722→ 0 total(indirect: See Footnote)Exercise: $11.50From: 2023-02-02Exp: 2023-06-22→ Class A Common Stock (510,722 underlying)
Holdings
- 13,111
Class A Common Stock
- 6,039,292(indirect: See Footnote)
Class A Common Stock
Footnotes (3)
- [F1]Reflects an exchange of warrants for shares of Class A Common Stock pursuant to an Issuer exchange offer.
- [F2]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.
- [F3]Represents securities held by CGC Sponsor LLC (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.