4//SEC Filing
ALLIANZ SE 4
Accession 0001193125-26-002805
CIK 0001838615other
Filed
Jan 4, 7:00 PM ET
Accepted
Jan 5, 5:35 PM ET
Size
12.7 KB
Accession
0001193125-26-002805
Insider Transaction Report
Form 4
ALLIANZ SE
10% Owner
Transactions
- Other
Class A Common Stock
2026-01-05+865,344→ 21,707,213.96 total(indirect: By Allianz Strategic Investments S.a.r.l.) - Other
Series A Preferred Stock
2026-01-05+4,019.78→ 168,933.91 total(indirect: By Allianz Strategic Investments S.a.r.l.)Exercise: $8.70→ Class A Common Stock
Holdings
- 1(indirect: By Allianz Strategic Investments S.a.r.l.)
Warrant to Purchase Class A Common Stock
Exercise: $7.40Exp: 2029-07-31→ Class A Common Stock (5,000,000 underlying)
Footnotes (7)
- [F1]Allianz Strategic Investments S.a.r.l. ("ASI") acquired 19,318,580.96 shares of Class A Common Stock, par value $0.0001 per share ("Class A Common Stock") of AlTi Global, Inc., a Delaware corporation (the "Issuer") in a private placement on July 31, 2024. ASI received shares of Class A Common Stock as a payment-in-kind dividends with respect to shares of Series A Cumulative Convertible Preferred Stock (the "Series A Preferred Stock") of the Issuer held by ASI as follows: 1,523,289 shares on June 30, 2025 and 865,344 shares on January 5, 2026. Holders of the Series A Preferred Stock are entitled to a cumulative dividend at the rate of 9.75% per annum, payable semi-annually in arrears. ASI is wholly owned by Allianz Finance II Luxembourg S.a.r.l., which in turn is wholly owned by the reporting person.
- [F2](Continued from footnote 1) The shares of Class A Common Stock are held directly by ASI. The reporting person is the ultimate parent company of ASI and has sole voting and dispositive power with respect to the shares held by ASI.
- [F3]The shares of the Series A Preferred Stock of the Issuer are convertible into shares of Class A Common Stock (i) by the reporting person at any time after July 31, 2026 and (ii) by the Issuer at any time after July 31, 2027, subject to certain conditions; provided, that the Series A Preferred Stock is subject to a beneficial ownership cap that prohibits the conversion of the Series A Preferred Stock into shares of Class A Common Stock to the extent such conversion would cause ASI's beneficial ownership, together with its affiliates, to exceed 24.9% (the "Ownership Cap"); provided, further, that if such a conversion would cause ASI's beneficial ownership, together with its affiliates, to exceed the Ownership Cap, the Issuer shall issue to ASI shares of the Issuer's Class C Non-Voting Common Stock, in lieu of shares of Class A Common Stock. The Series A Preferred Stock has no stated maturity and therefore has no expiration date.
- [F4]The Series A Preferred Stock has a stated value of $1,000 per share and is convertible into shares of Class A Common Stock at a conversion price of $8.70, subject to customary adjustments.
- [F5]ASI acquired 140,000 and 18,471 shares of the Series A Preferred Stock in private placements on July 31, 2024 and May 13, 2025, respectively and ASI received shares of the Series A Preferred Stock as a payment-in-kind dividends with respect to shares of Series A Preferred Stock held by ASI as follows: 6,443.13 shares on June 30, 2025 and 4,019.78 shares on January 5, 2026. Holders of the Series A Preferred Stock are entitled to a cumulative dividend at the rate of 9.75% per annum, payable semi-annually in arrears. The shares of Series A Preferred Stock are held directly by ASI.
- [F6]Subject to the Ownership Cap, the Warrant to purchase Class A Common Stock (the "Warrant") is immediately exercisable for up to 5,000,000 shares of Class A Common Stock at a conversion price of $7.40, subject to customary adjustments.
- [F7]The Warrant was acquired in a private placement on July 31, 2024 and is held directly by ASI.
Documents
Issuer
AlTi Global, Inc.
CIK 0001838615
Entity typeother
IncorporatedGermany
Related Parties
1- filerCIK 0001127508
Filing Metadata
- Form type
- 4
- Filed
- Jan 4, 7:00 PM ET
- Accepted
- Jan 5, 5:35 PM ET
- Size
- 12.7 KB