person · Reporting owner

Yu Peter

Disclosed activity across 5 companies

Tapewire entity: 24577
SEC CIK: 0001426890

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
AlTi Global, Inc.ALTI · Entity 5344	Director · 10% owner	June 25, 2024	June 26, 2024
Cartesian Growth Corp IIRENE · Entity 6927	Director · See Remarks · 10% owner	August 03, 2026	August 05, 2026
Cartesian Growth Corp IVCGCF · Entity 5807	Director · Chairman and CEO · 10% owner	August 08, 2026	August 11, 2026
Pangaea Logistics Solutions Ltd.PANL · Entity 5424	Director · 10% owner	February 16, 2018	February 21, 2018

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

AlTi Global, Inc.

Report date June 25, 2024 · Filed June 26, 2024

Jointly reported with CGC Sponsor LLC, Pangaea Three-B, LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	Direct	18,363.94	Reported balance After 2024-06-25 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2024-06-25 · Exercise / conversion · Acquired 18,363.94 · Balance 18,363.94 F3: Each restricted stock unit represents a contingent right to receive one share of AlTi Global Inc. Class A Common Stock.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2024-06-25 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2024-06-25 · Grant · Disposed 18,363.94 · Balance 0 F3: Each restricted stock unit represents a contingent right to receive one share of AlTi Global Inc. Class A Common Stock. F5: The restricted stock units vest in whole on the earlier of (i) the business day immediately prior to AlTi Global Inc.'s 2024 annual general meeting or (ii) June 30, 2024.
Class A Common StockSEC Table I · non-derivative	IndirectSee Footnote	2,984,154	Reported balance Holding disclosure · report date 2024-06-25 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,984,154 F1: 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.
Class A Common StockSEC Table I · non-derivative	IndirectSee Footnote	3,533,605	Reported balance Holding disclosure · report date 2024-06-25 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 3,533,605 F2: 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.
Class A Common StockSEC Table I · non-derivative	IndirectSee Footnote	13,111	Reported balance Holding disclosure · report date 2024-06-25 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 13,111 F4: Represents securities held by P3A. The Sponsor is the sole member of P3A, and is controlled by Peter Yu. Consequently, each of Pangaea Three-B, LP, Sponsor and Mr. Yu may be deemed to share voting and dispositive control over the securities held by P3A, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by P3A, except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

F2: 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.

F3: Each restricted stock unit represents a contingent right to receive one share of AlTi Global Inc. Class A Common Stock.

F4: Represents securities held by P3A. The Sponsor is the sole member of P3A, and is controlled by Peter Yu. Consequently, each of Pangaea Three-B, LP, Sponsor and Mr. Yu may be deemed to share voting and dispositive control over the securities held by P3A, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by P3A, except to the extent of his pecuniary interest therein.

F5: The restricted stock units vest in whole on the earlier of (i) the business day immediately prior to AlTi Global Inc.'s 2024 annual general meeting or (ii) June 30, 2024.

Cartesian Growth Corp II

Report date August 03, 2026 · Filed August 05, 2026

Jointly reported with CGC II Sponsor LLC, Pangaea Three-B, LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A ordinary sharesSEC Table I · non-derivative	Direct	4,949,998	Reported balance After 2026-08-03 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-08-03 · Other · Disposed 800,000 · Balance 4,949,998 F1: Represents Class A ordinary shares of Cartesian Growth Corporation II (the "Issuer", and such shares the "Class A Shares") transferred by CGC II Sponsor LLC (the "Sponsor") to a PIPE investor for no cash consideration in connection with the Issuer's proposed business combination with InoBat AS. F2: Represents 5,649,999 Class A Shares held by the Sponsor and 99,999 Class A Shares held by CGC II Sponsor DirectorCo LLC ("DirectorCo") for the benefit of the Issuer's independent directors. The Sponsor is the sole managing member of DirectorCo. Pangaea Three-B, LP is the sole member of the Sponsor and is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, each of Pangaea Three-B, LP and Mr. Yu may be deemed to share voting and dispositive control over the Class A Shares held by the Sponsor and DirectorCo, and thus to share beneficial ownership of such Class A Shares. Mr. Yu disclaims beneficial ownership of the Class A Shares held by the Sponsor and DirectorCo, except to the extent of his pecuniary interest therein.
Class B ordinary sharesSEC Table II · derivative / convertible security	Direct	2	Reported balance Holding disclosure · report date 2026-08-03 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 2 F3: The Class B ordinary shares of the Issuer (the "Class B Shares") have no expiration date and will automatically convert into Class A Shares at the time of the initial business combination of the Issuer, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment as set forth in the Issuer's registration statement on Form S-1 (File No. 333-261866). F2: Represents 5,649,999 Class A Shares held by the Sponsor and 99,999 Class A Shares held by CGC II Sponsor DirectorCo LLC ("DirectorCo") for the benefit of the Issuer's independent directors. The Sponsor is the sole managing member of DirectorCo. Pangaea Three-B, LP is the sole member of the Sponsor and is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, each of Pangaea Three-B, LP and Mr. Yu may be deemed to share voting and dispositive control over the Class A Shares held by the Sponsor and DirectorCo, and thus to share beneficial ownership of such Class A Shares. Mr. Yu disclaims beneficial ownership of the Class A Shares held by the Sponsor and DirectorCo, except to the extent of his pecuniary interest therein. F4: Consists of one Class B Share held by the Sponsor and one Class B share held by DirectorCo. The Sponsor is the sole managing member of DirectorCo. Pangaea Three-B, LP is the sole member of the Sponsor and is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, each of Pangaea Three-B, LP and Mr. Yu may be deemed to share voting and dispositive control over the Class B Shares held by the Sponsor and DirectorCo, and thus to share beneficial ownership of such Class B Shares. Mr. Yu disclaims beneficial ownership of the Class B Shares held by the Sponsor and DirectorCo, except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents Class A ordinary shares of Cartesian Growth Corporation II (the "Issuer", and such shares the "Class A Shares") transferred by CGC II Sponsor LLC (the "Sponsor") to a PIPE investor for no cash consideration in connection with the Issuer's proposed business combination with InoBat AS.

F2: Represents 5,649,999 Class A Shares held by the Sponsor and 99,999 Class A Shares held by CGC II Sponsor DirectorCo LLC ("DirectorCo") for the benefit of the Issuer's independent directors. The Sponsor is the sole managing member of DirectorCo. Pangaea Three-B, LP is the sole member of the Sponsor and is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, each of Pangaea Three-B, LP and Mr. Yu may be deemed to share voting and dispositive control over the Class A Shares held by the Sponsor and DirectorCo, and thus to share beneficial ownership of such Class A Shares. Mr. Yu disclaims beneficial ownership of the Class A Shares held by the Sponsor and DirectorCo, except to the extent of his pecuniary interest therein.

F3: The Class B ordinary shares of the Issuer (the "Class B Shares") have no expiration date and will automatically convert into Class A Shares at the time of the initial business combination of the Issuer, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment as set forth in the Issuer's registration statement on Form S-1 (File No. 333-261866).

F4: Consists of one Class B Share held by the Sponsor and one Class B share held by DirectorCo. The Sponsor is the sole managing member of DirectorCo. Pangaea Three-B, LP is the sole member of the Sponsor and is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, each of Pangaea Three-B, LP and Mr. Yu may be deemed to share voting and dispositive control over the Class B Shares held by the Sponsor and DirectorCo, and thus to share beneficial ownership of such Class B Shares. Mr. Yu disclaims beneficial ownership of the Class B Shares held by the Sponsor and DirectorCo, except to the extent of his pecuniary interest therein.

Cartesian Growth Corp IV

Report date August 08, 2026 · Filed August 11, 2026

Jointly reported with CGC IV Sponsor LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class B ordinary sharesSEC Table II · derivative / convertible security	Direct	6,775,000	Reported balance After 2026-08-08 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-08-08 · Other · Disposed 312,500 · Balance 6,775,000 F1: As described in the Issuer's registration statement on Form S-1 (File No. 333- 296614) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date. F2: 312,500 Class B ordinary shares were forfeited by CGC IV Sponsor LLC (the "Sponsor") to the Issuer at no cost in connection with the expiration of the remaining portion of the underwriters' over-allotment option as of August 8, 2026, as described in the Registration Statement. F3: These Class B ordinary shares are held by the Sponsor and were acquired pursuant to a securities purchase agreement by and between the Sponsor and the Issuer. CGC IV Sponsor Manager LLC is the sole member of the Sponsor and is controlled by Peter Yu. Consequently, 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 such securities except to the extent of its or his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: As described in the Issuer's registration statement on Form S-1 (File No. 333- 296614) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2: 312,500 Class B ordinary shares were forfeited by CGC IV Sponsor LLC (the "Sponsor") to the Issuer at no cost in connection with the expiration of the remaining portion of the underwriters' over-allotment option as of August 8, 2026, as described in the Registration Statement.

F3: These Class B ordinary shares are held by the Sponsor and were acquired pursuant to a securities purchase agreement by and between the Sponsor and the Issuer. CGC IV Sponsor Manager LLC is the sole member of the Sponsor and is controlled by Peter Yu. Consequently, 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 such securities except to the extent of its or his pecuniary interest therein.

Pangaea Logistics Solutions Ltd.

Report date February 16, 2018 · Filed February 21, 2018

Jointly reported with Cartesian Capital Group Holding, LLC, Pangaea One Holding, LLC, Pangaea One Parallel Fund, L.P., Pangaea One (Cayman), L.P., Pangaea One GP2 (Cayman), L.P., Pangaea One GP2 (Cayman), Co., Pangaea One GP (Cayman), L.P., Pangaea One GP (Cayman), Co.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Share $0.0001 Par ValueSEC Table I · non-derivative	Indirectsee footnotes	14,075,014	Reported balance Holding disclosure · report date 2018-02-16 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 14,075,014 F1: The 14,045,397 shares of Common Stock are held directly as follows: (i) 1,099,304 shares of Common Stock held directly by Imfinno, L.P.,a Delaware limited partnership ("Imfinno"); (ii) 1,669,492 shares of Common Stock held directly by Malemod, L.P., a Delaware limited partnership ("Malemod"); (iii) 1,658,620 shares of Common Stock held directly by Nypsun, L.P., a Delaware limited partnership ("Nypsun"); (iv) 1,555,334 shares of Common Stock held directly by Leggonly, L.P., a Delaware limited partnership ("Leggonly"); (v) 1,555,307 shares of Common Stock held directly by Pangaea One Parallel Fund (B), L.P., a Delaware limited partnership ("Pangaea Parallel (B)"); (vi) 3,297,254 shares of Common Stock held directly by Pangaea One (Cayman), L.P. ("Pangaea Cayman"); (vii) 3,081,156 shares of Common Stock held directly by Pangaea One Parallel Fund, L.P. ("Pangaea Parallel") and (viii) 128,930 Common Shares held directly by Pangaea Acquisition. F2: Pangaea One, L.P., a Delaware limited partnership ("Pangaea One"), Pangaea Parallel (B), Pangaea Cayman and Pangaea Parallel directly own Pangaea Acquisition. Pangaea One GP, LLC, a Delaware limited liability company ("Pangaea LLC") is the general partner of Imfinno, Malemod, Nypsun, Leggonly, Pangaea Parallel (B), and Pangaea One. Pangaea One GP (Cayman), L.P., a Cayman Islands company ("PGP LP") is the general partner of Pangaea Cayman. Pangaea One GP (Cayman), Co., a Cayman Islands company ("PGP Co") is the general partner of PGP LP. F3: Footnote 2 Continued : Pangaea One Holding, LLC, a Delaware limited liability company ("Pangaea One LLC") is the managing member of Pangaea LLC and PGP Co. Pangaea One GP2 (Cayman), L.P., a Cayman Islands limited partnership ("PGP2 LP") is the general partner of Pangaea Parallel. Pangaea One GP2 (Cayman), Co., a Cayman Islands company ("PGPs Co") is the general partner of PGP2 LP. Cartesian Capital Group, LLC, a Delaware limited liability company ("Cartesian") is the managing member of Pangaea One LLC and PGP2 Co. F4: Cartesian, Pangaea One LLC, Pangaea Cayman, Pangaea Parallel, PGP LP, PGP Co, PGP2 LP, and PGP2 Co. are collectively referred to herein as the "Pangaea Entities" and, together with Peter Yu, the "Pangaea Reporting Persons." Each Pangaea Entity disclaims beneficial ownership with respect to any shares of Common Stock of Pangaea Logistics Solutions Ltd. (the "Issuer"), except to the extent of its pecuniary interest in such shares of Common Stock and this report shall not be deemed an admission that for purposes of Section1 6 of the Securities Exchange Act of 1934 (as amended, the "Exchange Act") or otherwise, any of the Pangaea Reporting Persons is the beneficial owner of these securities. Information with respect to each of the Pangaea Reporting Persons is given solely by such Reporting Person, and no Pangaea Reporting Person has responsibility for the accuracy or completeness of the information supplied by another Pangaea Reporting Person. F5: Peter Yu is a member of the Board of Directors of the Issuer and is a managing member or director of each of Cartesian, Pangaea One LLC, PGP LP, PGP Co, PGP2 LP and PGP Co. As such, Mr. Yu may be deemed to have an indirect pecuniary interest (within the meaning of Rule 16a-1 under the Exchange Act) in an indeterminate portion of the securities reported as beneficially owned by the Pangaea Entities. Mr. Yu disclaims beneficial ownership of all such securities, except to the extent of any direct pecuniary interest therein and this report shall not be deemed an admission that Mr. Yu is the beneficial owner of any such securities for Section 16 of the Exchange Act or any other purposes. F6: Due to the limitation on the number of filers that can report on a single Form 4, Pangaea Parallel (B), Pangaea One GP, Pangaea One and Pangaea Acquisition have filed a separate Form 4 on the date hereof reporting indirect beneficial ownership over the shares of Common Stock acquired by Pangaea Acquisition.

Filing footnotes · ownership attribution and instrument terms

F1: The 14,045,397 shares of Common Stock are held directly as follows: (i) 1,099,304 shares of Common Stock held directly by Imfinno, L.P.,a Delaware limited partnership ("Imfinno"); (ii) 1,669,492 shares of Common Stock held directly by Malemod, L.P., a Delaware limited partnership ("Malemod"); (iii) 1,658,620 shares of Common Stock held directly by Nypsun, L.P., a Delaware limited partnership ("Nypsun"); (iv) 1,555,334 shares of Common Stock held directly by Leggonly, L.P., a Delaware limited partnership ("Leggonly"); (v) 1,555,307 shares of Common Stock held directly by Pangaea One Parallel Fund (B), L.P., a Delaware limited partnership ("Pangaea Parallel (B)"); (vi) 3,297,254 shares of Common Stock held directly by Pangaea One (Cayman), L.P. ("Pangaea Cayman"); (vii) 3,081,156 shares of Common Stock held directly by Pangaea One Parallel Fund, L.P. ("Pangaea Parallel") and (viii) 128,930 Common Shares held directly by Pangaea Acquisition.

F2: Pangaea One, L.P., a Delaware limited partnership ("Pangaea One"), Pangaea Parallel (B), Pangaea Cayman and Pangaea Parallel directly own Pangaea Acquisition. Pangaea One GP, LLC, a Delaware limited liability company ("Pangaea LLC") is the general partner of Imfinno, Malemod, Nypsun, Leggonly, Pangaea Parallel (B), and Pangaea One. Pangaea One GP (Cayman), L.P., a Cayman Islands company ("PGP LP") is the general partner of Pangaea Cayman. Pangaea One GP (Cayman), Co., a Cayman Islands company ("PGP Co") is the general partner of PGP LP.

F3: Footnote 2 Continued : Pangaea One Holding, LLC, a Delaware limited liability company ("Pangaea One LLC") is the managing member of Pangaea LLC and PGP Co. Pangaea One GP2 (Cayman), L.P., a Cayman Islands limited partnership ("PGP2 LP") is the general partner of Pangaea Parallel. Pangaea One GP2 (Cayman), Co., a Cayman Islands company ("PGPs Co") is the general partner of PGP2 LP. Cartesian Capital Group, LLC, a Delaware limited liability company ("Cartesian") is the managing member of Pangaea One LLC and PGP2 Co.

F4: Cartesian, Pangaea One LLC, Pangaea Cayman, Pangaea Parallel, PGP LP, PGP Co, PGP2 LP, and PGP2 Co. are collectively referred to herein as the "Pangaea Entities" and, together with Peter Yu, the "Pangaea Reporting Persons." Each Pangaea Entity disclaims beneficial ownership with respect to any shares of Common Stock of Pangaea Logistics Solutions Ltd. (the "Issuer"), except to the extent of its pecuniary interest in such shares of Common Stock and this report shall not be deemed an admission that for purposes of Section1 6 of the Securities Exchange Act of 1934 (as amended, the "Exchange Act") or otherwise, any of the Pangaea Reporting Persons is the beneficial owner of these securities. Information with respect to each of the Pangaea Reporting Persons is given solely by such Reporting Person, and no Pangaea Reporting Person has responsibility for the accuracy or completeness of the information supplied by another Pangaea Reporting Person.

F5: Peter Yu is a member of the Board of Directors of the Issuer and is a managing member or director of each of Cartesian, Pangaea One LLC, PGP LP, PGP Co, PGP2 LP and PGP Co. As such, Mr. Yu may be deemed to have an indirect pecuniary interest (within the meaning of Rule 16a-1 under the Exchange Act) in an indeterminate portion of the securities reported as beneficially owned by the Pangaea Entities. Mr. Yu disclaims beneficial ownership of all such securities, except to the extent of any direct pecuniary interest therein and this report shall not be deemed an admission that Mr. Yu is the beneficial owner of any such securities for Section 16 of the Exchange Act or any other purposes.

F6: Due to the limitation on the number of filers that can report on a single Form 4, Pangaea Parallel (B), Pangaea One GP, Pangaea One and Pangaea Acquisition have filed a separate Form 4 on the date hereof reporting indirect beneficial ownership over the shares of Common Stock acquired by Pangaea Acquisition.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Factorial Energy Inc.

Report date June 05, 2026 · Filed June 09, 2026

Jointly reported with CGC III Sponsor LLC, Pangaea Three-B, LP

Section 16 reporting ended · disclosed 2026-06-09. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Common StockSEC Table I · non-derivative	Direct	5,710,000	Reported balance After 2026-06-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-06-05 · Conversion · Acquired 5,710,000 · Balance 5,710,000 F1: The Class B ordinary shares are convertible for shares of Series A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-294663) (the "Registration Statement") and have no expiration date. On June 5, 2026, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,800,000 Class B ordinary shares held by CGC III Sponsor LLC (the "Sponsor") and 100,000 Class B ordinary shares held by CGC III Sponsor DirectorCo ("DirectorCo") converted into Series A Common Stock on a one-for-one basis. F2: Represents securities held by the Sponsor. Pangaea Three B, LP ("Pangaea") is the sole member of the Sponsor and is controlled by Peter Yu. Consequently, each of Pangaea 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.
Series A Common StockSEC Table I · non-derivative	IndirectSee footnote	100,000	Reported balance After 2026-06-05 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2026-06-05 · Conversion · Acquired 100,000 · Balance 100,000 F1: The Class B ordinary shares are convertible for shares of Series A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-294663) (the "Registration Statement") and have no expiration date. On June 5, 2026, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,800,000 Class B ordinary shares held by CGC III Sponsor LLC (the "Sponsor") and 100,000 Class B ordinary shares held by CGC III Sponsor DirectorCo ("DirectorCo") converted into Series A Common Stock on a one-for-one basis.
Series A Common StockSEC Table I · non-derivative	IndirectSee footnote	1,179,404	Reported balance After 2026-06-05 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2026-06-05 · Grant · Acquired 1,179,404 · Balance 1,179,404 F3: These shares of Series A Common Stock were acquired by Pangaea in a private placement upon consummation of the Business Combination. F5: Represents securities held by Pangaea. Pangaea is controlled by Peter Yu. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea, except to the extent of his pecuniary interest therein.
Series A Common StockSEC Table I · non-derivative	IndirectSee footnote	1,468,894	Reported balance After 2026-06-05 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2026-06-05 · Grant · Acquired 1,468,894 · Balance 1,468,894 F4: These shares of Series A Common Stock were acquired upon consummation of the Business Combination for no additional consideration. F5: Represents securities held by Pangaea. Pangaea is controlled by Peter Yu. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea, except to the extent of his pecuniary interest therein.
Class B ordinary sharesSEC Table II · derivative / convertible security	Direct	5,710,000	Reported balance After 2026-06-05 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2026-06-05 · Conversion · Disposed 5,710,000 · Balance 5,710,000 F1: The Class B ordinary shares are convertible for shares of Series A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-294663) (the "Registration Statement") and have no expiration date. On June 5, 2026, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,800,000 Class B ordinary shares held by CGC III Sponsor LLC (the "Sponsor") and 100,000 Class B ordinary shares held by CGC III Sponsor DirectorCo ("DirectorCo") converted into Series A Common Stock on a one-for-one basis. F2: Represents securities held by the Sponsor. Pangaea Three B, LP ("Pangaea") is the sole member of the Sponsor and is controlled by Peter Yu. Consequently, each of Pangaea 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.
Class B ordinary sharesSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2026-06-05 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2026-06-05 · Other · Disposed 1,090,000 · Balance 0 F6: The Class B ordinary shares are convertible for shares of Series A Common Stock as described in the Issuer's Registration Statement and have no expiration date. On June 5, 2026, the Sponsor forfeited 1,090,000 Class B ordinary shares in connection with the consummation of the Business Combination. F2: Represents securities held by the Sponsor. Pangaea Three B, LP ("Pangaea") is the sole member of the Sponsor and is controlled by Peter Yu. Consequently, each of Pangaea 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.
Class B ordinary sharesSEC Table II · derivative / convertible security	IndirectSee footnote	100,000	Reported balance After 2026-06-05 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2026-06-05 · Conversion · Disposed 100,000 · Balance 100,000 F1: The Class B ordinary shares are convertible for shares of Series A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-294663) (the "Registration Statement") and have no expiration date. On June 5, 2026, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,800,000 Class B ordinary shares held by CGC III Sponsor LLC (the "Sponsor") and 100,000 Class B ordinary shares held by CGC III Sponsor DirectorCo ("DirectorCo") converted into Series A Common Stock on a one-for-one basis.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50	Direct	4,400,000	Reported balance Holding disclosure · report date 2026-06-05 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance 4,400,000 F7: Each warrant shall become exercisable on July 5, 2026, 30 days after the completion of the Business Combination as described in the Issuer's Registration Statement. Each warrant shall expire on June 5, 2031, five years after the completion of the Business Combination, or earlier upon redemption or liquidation, as described in the Issuer's Registration Statement. F2: Represents securities held by the Sponsor. Pangaea Three B, LP ("Pangaea") is the sole member of the Sponsor and is controlled by Peter Yu. Consequently, each of Pangaea 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.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50	IndirectSee footnote	324,120	Reported balance Holding disclosure · report date 2026-06-05 · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · Balance 324,120 F7: Each warrant shall become exercisable on July 5, 2026, 30 days after the completion of the Business Combination as described in the Issuer's Registration Statement. Each warrant shall expire on June 5, 2031, five years after the completion of the Business Combination, or earlier upon redemption or liquidation, as described in the Issuer's Registration Statement. F5: Represents securities held by Pangaea. Pangaea is controlled by Peter Yu. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea, except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The Class B ordinary shares are convertible for shares of Series A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-294663) (the "Registration Statement") and have no expiration date. On June 5, 2026, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,800,000 Class B ordinary shares held by CGC III Sponsor LLC (the "Sponsor") and 100,000 Class B ordinary shares held by CGC III Sponsor DirectorCo ("DirectorCo") converted into Series A Common Stock on a one-for-one basis.

F2: Represents securities held by the Sponsor. Pangaea Three B, LP ("Pangaea") is the sole member of the Sponsor and is controlled by Peter Yu. Consequently, each of Pangaea 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.

F3: These shares of Series A Common Stock were acquired by Pangaea in a private placement upon consummation of the Business Combination.

F4: These shares of Series A Common Stock were acquired upon consummation of the Business Combination for no additional consideration.

F5: Represents securities held by Pangaea. Pangaea is controlled by Peter Yu. Consequently, Mr. Yu may be deemed to share voting and dispositive control over the securities held by Pangaea, and thus to share beneficial ownership of such securities. Mr. Yu disclaims beneficial ownership of the securities held by Pangaea, except to the extent of his pecuniary interest therein.

F6: The Class B ordinary shares are convertible for shares of Series A Common Stock as described in the Issuer's Registration Statement and have no expiration date. On June 5, 2026, the Sponsor forfeited 1,090,000 Class B ordinary shares in connection with the consummation of the Business Combination.

F7: Each warrant shall become exercisable on July 5, 2026, 30 days after the completion of the Business Combination as described in the Issuer's Registration Statement. Each warrant shall expire on June 5, 2031, five years after the completion of the Business Combination, or earlier upon redemption or liquidation, as described in the Issuer's Registration Statement.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
January 10, 2023 Filed Jan 13, 2023 02:00 UTC	AlTi Global, Inc. ALTI · Entity 5344	PurchaseClass A Common Stock	41,000	$8.91	$365,310.00	Disclosure SEC source: 0000899243-23-001708 · doc4.xml · nonDerivative · entry 1 Yu Peter · CIK 0001426890 · Director · 10% owner CGC Sponsor LLC · CIK 0001847878 · 10% owner Pangaea Three-B, LP · CIK 0001754782 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 212,227 F1 · ownership.nature: 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. Read SEC document
January 09, 2023 Filed Jan 10, 2023 00:40 UTC	AlTi Global, Inc. ALTI · Entity 5344	PurchaseClass A Common Stock	22,231	$8.98	$199,634.38	Disclosure SEC source: 0000899243-23-001379 · doc4.xml · nonDerivative · entry 3 Yu Peter · CIK 0001426890 · Director · 10% owner CGC Sponsor LLC · CIK 0001847878 · 10% owner Pangaea Three-B, LP · CIK 0001754782 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 171,227 F1 · ownership.nature: 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. Read SEC document
January 06, 2023 Filed Jan 10, 2023 00:40 UTC	AlTi Global, Inc. ALTI · Entity 5344	PurchaseClass A Common Stock	39,056	$8.38	$327,289.28	Disclosure SEC source: 0000899243-23-001379 · doc4.xml · nonDerivative · entry 2 Yu Peter · CIK 0001426890 · Director · 10% owner CGC Sponsor LLC · CIK 0001847878 · 10% owner Pangaea Three-B, LP · CIK 0001754782 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 148,996 F1 · ownership.nature: 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. Read SEC document
January 05, 2023 Filed Jan 10, 2023 00:40 UTC	AlTi Global, Inc. ALTI · Entity 5344	PurchaseClass A Common Stock	748	$8.00	$5,984.00	Disclosure SEC source: 0000899243-23-001379 · doc4.xml · nonDerivative · entry 1 Yu Peter · CIK 0001426890 · Director · 10% owner CGC Sponsor LLC · CIK 0001847878 · 10% owner Pangaea Three-B, LP · CIK 0001754782 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 109,940 F1 · ownership.nature: 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. Read SEC document
January 03, 2023 Filed Jan 5, 2023 00:46 UTC	AlTi Global, Inc. ALTI · Entity 5344	OtherWarrants · Derivative	8,900,000	$0.00 Strike: $11.50	$0.00	Disclosure SEC source: 0000899243-23-000709 · doc4.xml · derivative · entry 6 Yu Peter · CIK 0001426890 · Director · 10% owner CGC Sponsor LLC · CIK 0001847878 · 10% owner Pangaea Three-B, LP · CIK 0001754782 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 8,900,000 shares Expires not disclosed F7 · kind: On January 3, 2023, the Sponsor forfeited 8,900,000 warrants in connection with the consummation of the Business Combination. F7 · shares: On January 3, 2023, the Sponsor forfeited 8,900,000 warrants in connection with the consummation of the Business Combination. F8 · derivative.exercise_date: Each warrant shall become exercisable on February 2, 2023, 30 days after the completion of the Business Combination as described in the Issuer's Registration Statement. Each warrant shall expire on January 3, 2028, five years after the completion of the Business Combination, or earlier upon redemption or liquidation, as described in the Issuer's Registration Statement. F8 · derivative.expiration_date: Each warrant shall become exercisable on February 2, 2023, 30 days after the completion of the Business Combination as described in the Issuer's Registration Statement. Each warrant shall expire on January 3, 2028, five years after the completion of the Business Combination, or earlier upon redemption or liquidation, as described in the Issuer's Registration Statement. F2 · ownership.nature: Represents securities held by 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. Read SEC document
January 03, 2023 Filed Jan 5, 2023 00:46 UTC	AlTi Global, Inc. ALTI · Entity 5344	OtherClass B ordinary shares · Derivative	2,118,569	$0.00	$0.00	Disclosure SEC source: 0000899243-23-000709 · doc4.xml · derivative · entry 5 Yu Peter · CIK 0001426890 · Director · 10% owner CGC Sponsor LLC · CIK 0001847878 · 10% owner Pangaea Three-B, LP · CIK 0001754782 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 2,118,569 shares Expires not disclosed F6 · derivative.exercise_price: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement and have no expiration date. On January 3, 2023, the Sponsor forfeited 2,118,569 Class B ordinary shares in connection with the consummation of the Business Combination. F6 · kind: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement and have no expiration date. On January 3, 2023, the Sponsor forfeited 2,118,569 Class B ordinary shares in connection with the consummation of the Business Combination. F6 · shares: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement and have no expiration date. On January 3, 2023, the Sponsor forfeited 2,118,569 Class B ordinary shares in connection with the consummation of the Business Combination. F6 · derivative.exercise_date: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement and have no expiration date. On January 3, 2023, the Sponsor forfeited 2,118,569 Class B ordinary shares in connection with the consummation of the Business Combination. F6 · derivative.expiration_date: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement and have no expiration date. On January 3, 2023, the Sponsor forfeited 2,118,569 Class B ordinary shares in connection with the consummation of the Business Combination. F2 · ownership.nature: Represents securities held by 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. Read SEC document
January 03, 2023 Filed Jan 5, 2023 00:46 UTC	AlTi Global, Inc. ALTI · Entity 5344	ConversionClass B ordinary shares · Derivative	6,431,431	$0.00	$0.00	Disclosure SEC source: 0000899243-23-000709 · doc4.xml · derivative · entry 4 Yu Peter · CIK 0001426890 · Director · 10% owner CGC Sponsor LLC · CIK 0001847878 · 10% owner Pangaea Three-B, LP · CIK 0001754782 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,118,569 Underlying: Class A Common Stock · 6,431,431 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-262644) (the "Registration Statement") and have no expiration date. On January 3, 2023, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,431,431 Class B ordinary shares held by CGC Sponsor LLC (the "Sponsor") converted into Class A Common Stock on a one-for-one basis. F1 · kind: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-262644) (the "Registration Statement") and have no expiration date. On January 3, 2023, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,431,431 Class B ordinary shares held by CGC Sponsor LLC (the "Sponsor") converted into Class A Common Stock on a one-for-one basis. F1 · shares: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-262644) (the "Registration Statement") and have no expiration date. On January 3, 2023, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,431,431 Class B ordinary shares held by CGC Sponsor LLC (the "Sponsor") converted into Class A Common Stock on a one-for-one basis. F1 · derivative.exercise_date: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-262644) (the "Registration Statement") and have no expiration date. On January 3, 2023, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,431,431 Class B ordinary shares held by CGC Sponsor LLC (the "Sponsor") converted into Class A Common Stock on a one-for-one basis. F1 · derivative.expiration_date: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-262644) (the "Registration Statement") and have no expiration date. On January 3, 2023, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,431,431 Class B ordinary shares held by CGC Sponsor LLC (the "Sponsor") converted into Class A Common Stock on a one-for-one basis. F2 · ownership.nature: Represents securities held by 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. Read SEC document
January 03, 2023 Filed Jan 5, 2023 00:46 UTC	AlTi Global, Inc. ALTI · Entity 5344	GrantClass A Common Stock	11,840	$0.00	$0.00	Disclosure SEC source: 0000899243-23-000709 · doc4.xml · nonDerivative · entry 3 Yu Peter · CIK 0001426890 · Director · 10% owner CGC Sponsor LLC · CIK 0001847878 · 10% owner Pangaea Three-B, LP · CIK 0001754782 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 109,192 F4 · shares: These shares of Class A Common Stock were acquired upon consummation of the Business Combination for no additional consideration. F4 · price: These shares of Class A Common Stock were acquired upon consummation of the Business Combination for no additional consideration. F5 · ownership.nature: 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. Read SEC document
January 03, 2023 Filed Jan 5, 2023 00:46 UTC	AlTi Global, Inc. ALTI · Entity 5344	GrantClass A Common Stock	2,861	$9.80	$28,037.80	Disclosure SEC source: 0000899243-23-000709 · doc4.xml · nonDerivative · entry 2 Yu Peter · CIK 0001426890 · Director · 10% owner CGC Sponsor LLC · CIK 0001847878 · 10% owner Pangaea Three-B, LP · CIK 0001754782 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,434,292 F3 · shares: These shares of Class A Common Stock were acquired by the Sponsor in a private placement upon consummation of the Business Combination. F2 · ownership.nature: Represents securities held by 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. Read SEC document
January 03, 2023 Filed Jan 5, 2023 00:46 UTC	AlTi Global, Inc. ALTI · Entity 5344	ConversionClass A Common Stock	6,431,431	$0.00	$0.00	Disclosure SEC source: 0000899243-23-000709 · doc4.xml · nonDerivative · entry 1 Yu Peter · CIK 0001426890 · Director · 10% owner CGC Sponsor LLC · CIK 0001847878 · 10% owner Pangaea Three-B, LP · CIK 0001754782 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,431,431 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-262644) (the "Registration Statement") and have no expiration date. On January 3, 2023, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,431,431 Class B ordinary shares held by CGC Sponsor LLC (the "Sponsor") converted into Class A Common Stock on a one-for-one basis. F1 · price: The Class B ordinary shares are convertible for shares of Class A Common Stock as described in the Issuer's Registration Statement on Form S-4 (File No. 333-262644) (the "Registration Statement") and have no expiration date. On January 3, 2023, the Issuer consummated its initial business combination (the "Business Combination"). In connection with the Business Combination, 6,431,431 Class B ordinary shares held by CGC Sponsor LLC (the "Sponsor") converted into Class A Common Stock on a one-for-one basis. F2 · ownership.nature: Represents securities held by 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. Read SEC document
December 28, 2022 Filed Dec 30, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseClass A Common Stock	1,696	$10.03	$17,010.88	Disclosure SEC source: 0000899243-22-039550 · doc4.xml · nonDerivative · entry 2 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,352 F1 · shares: Represents securities held by Pangaea Three, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share coting 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. Read SEC document
December 27, 2022 Filed Dec 30, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseClass A Common Stock	2,271	$10.03	$22,778.13	Disclosure SEC source: 0000899243-22-039550 · doc4.xml · nonDerivative · entry 1 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,656 F1 · shares: Represents securities held by Pangaea Three, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share coting 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. Read SEC document
December 23, 2022 Filed Dec 24, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseClass A Common Stock	5	$10.03	$50.15	Disclosure SEC source: 0000899243-22-039330 · doc4.xml · nonDerivative · entry 3 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,385 F1 · shares: Represents securities held by Pangaea Three, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share coting 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. Read SEC document
December 22, 2022 Filed Dec 24, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseClass A Common Stock	491	$10.03	$4,924.73	Disclosure SEC source: 0000899243-22-039330 · doc4.xml · nonDerivative · entry 2 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,380 F1 · shares: Represents securities held by Pangaea Three, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share coting 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. Read SEC document
December 21, 2022 Filed Dec 24, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseClass A Common Stock	2,100	$10.03	$21,063.00	Disclosure SEC source: 0000899243-22-039330 · doc4.xml · nonDerivative · entry 1 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,889 F1 · shares: Represents securities held by Pangaea Three, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. Consequently, Mr. Yu may be deemed to share coting 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. Read SEC document
December 20, 2022 Filed Dec 21, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	215,000	$0.63 Strike: $11.50	$135,235.00	Disclosure SEC source: 0000899243-22-039149 · doc4.xml · derivative · entry 5 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,802,416 Underlying: Class A ordinary shares · 215,000 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
December 20, 2022 Filed Dec 21, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseClass A ordinary shares	3,555	$10.03	$35,644.56	Disclosure SEC source: 0000899243-22-039149 · doc4.xml · nonDerivative · entry 2 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,789 F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. Read SEC document
December 19, 2022 Filed Dec 21, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	115,422	$0.57 Strike: $11.50	$65,790.54	Disclosure SEC source: 0000899243-22-039149 · doc4.xml · derivative · entry 4 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,587,416 Underlying: Class A ordinary shares · 115,422 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
December 19, 2022 Filed Dec 21, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseClass A ordinary shares	1,017	$10.00	$10,167.05	Disclosure SEC source: 0000899243-22-039149 · doc4.xml · nonDerivative · entry 1 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,234 F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. Read SEC document
December 16, 2022 Filed Dec 21, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	75,518	$0.55 Strike: $11.50	$41,534.90	Disclosure SEC source: 0000899243-22-039149 · doc4.xml · derivative · entry 3 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,471,994 Underlying: Class A Ordinary Shares · 75,518 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
November 22, 2022 Filed Nov 25, 2022 22:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	16,412	$0.55 Strike: $11.50	$9,026.60	Disclosure SEC source: 0000899243-22-037047 · doc4.xml · derivative · entry 1 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,016,722 Underlying: Class A Ordinary Shares · 16,412 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
November 21, 2022 Filed Nov 22, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	632	$10.19 Strike: $11.50	$6,439.38	Disclosure SEC source: 0000899243-22-036589 · doc4.xml · derivative · entry 9 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,380,064 Underlying: Class A ordinary shares · 632 shares Expires not disclosed F2 · security: Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · shares: Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. F2 · price: Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. F3 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F4 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
November 21, 2022 Filed Nov 22, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	122,609	$0.55 Strike: $11.50	$67,189.73	Disclosure SEC source: 0000899243-22-036589 · doc4.xml · derivative · entry 8 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,379,432 Underlying: Class A ordinary shares · 112,609 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F4 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
November 21, 2022 Filed Nov 22, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseClass A ordinary shares	1,897	$10.19	$19,328.34	Disclosure SEC source: 0000899243-22-036589 · doc4.xml · nonDerivative · entry 4 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,217 F2 · security: Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · price: Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. Read SEC document
November 18, 2022 Filed Nov 22, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	665	$9.87 Strike: $11.50	$6,564.28	Disclosure SEC source: 0000899243-22-036589 · doc4.xml · derivative · entry 7 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,266,823 Underlying: Class A ordinary shares · 665 shares Expires not disclosed F2 · security: Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · shares: Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. F2 · price: Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. F3 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F4 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
November 18, 2022 Filed Nov 22, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	265,848	$0.55 Strike: $11.50	$146,748.10	Disclosure SEC source: 0000899243-22-036589 · doc4.xml · derivative · entry 6 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,266,158 Underlying: Class A ordinary shares · 265,848 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F4 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
November 18, 2022 Filed Nov 22, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseClass A ordinary shares	1,995	$9.87	$19,692.84	Disclosure SEC source: 0000899243-22-036589 · doc4.xml · nonDerivative · entry 3 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,320 F2 · security: Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · price: Purchased as part of a unit, each unit consists of one Class A ordinary share and one-third of one warrant. Each whole warrant entitles the holder to purchase one Class A ordinary share for $11.50 per share (subject to adjustment). Purchase price reported is per unit. Read SEC document
November 18, 2022 Filed Nov 22, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseClass A ordinary shares	60,000	$10.07	$604,164.00	Disclosure SEC source: 0000899243-22-036589 · doc4.xml · nonDerivative · entry 2 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,325 F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. Read SEC document
November 17, 2022 Filed Nov 22, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	316,375	$0.50 Strike: $11.50	$156,605.63	Disclosure SEC source: 0000899243-22-036589 · doc4.xml · derivative · entry 5 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000,310 Underlying: Class A Ordinary Shares · 316,375 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F4 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
November 17, 2022 Filed Nov 22, 2022 02:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseClass A ordinary shares	22,325	$10.03	$223,895.19	Disclosure SEC source: 0000899243-22-036589 · doc4.xml · nonDerivative · entry 1 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,325 F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. Read SEC document
November 09, 2022 Filed Nov 14, 2022 11:15 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	66,898	$0.48 Strike: $11.50	$32,111.04	Disclosure SEC source: 0000899243-22-035627 · doc4.xml · derivative · entry 1 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,683,935 Underlying: Class A Ordinary Shares · 66,898 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
November 04, 2022 Filed Nov 4, 2022 22:49 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	60,568	$0.46 Strike: $11.50	$27,818.88	Disclosure SEC source: 0000899243-22-035231 · doc4.xml · derivative · entry 3 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,617,037 Underlying: Class A Ordinary Shares · 60,568 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
November 03, 2022 Filed Nov 4, 2022 22:49 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	124,909	$0.48 Strike: $11.50	$59,793.94	Disclosure SEC source: 0000899243-22-035231 · doc4.xml · derivative · entry 2 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,556,469 Underlying: Class A Ordinary Shares · 124,909 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
November 02, 2022 Filed Nov 4, 2022 22:49 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	27,840	$0.40 Strike: $11.50	$11,110.94	Disclosure SEC source: 0000899243-22-035231 · doc4.xml · derivative · entry 1 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,431,560 Underlying: Class A Ordinary Shares · 27,840 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
May 27, 2022 Filed Jun 1, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	112,467	$0.94 Strike: $11.50	$106,247.57	Disclosure SEC source: 0000899243-22-020298 · doc4.xml · derivative · entry 1 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,403,720 Underlying: Class A Ordinary Shares · 112,467 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
May 26, 2022 Filed May 28, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	328,247	$0.84 Strike: $11.50	$274,184.72	Disclosure SEC source: 0000899243-22-020044 · doc4.xml · derivative · entry 2 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,419,500 Underlying: Class A Ordinary Shares · 328,247 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
May 25, 2022 Filed May 28, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	800,000	$0.80 Strike: $11.50	$640,000.00	Disclosure SEC source: 0000899243-22-020044 · doc4.xml · derivative · entry 1 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,091,253 Underlying: Class A Ordinary Shares · 800,000 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
May 24, 2022 Filed May 26, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants, each whole warrant exercisable for one Class A Ord · Derivative	31,140	$0.70 Strike: $11.50	$21,819.80	Disclosure SEC source: 0000899243-22-019590 · doc4.xml · derivative · entry 2 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,291,253 Underlying: Class A Ordinary Shares · 31,140 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
May 23, 2022 Filed May 26, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants, each whole warrant exercisable for one Class A Ord · Derivative	964,818	$0.71 Strike: $11.50	$683,863.00	Disclosure SEC source: 0000899243-22-019590 · doc4.xml · derivative · entry 1 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · Director · Chief Executive Officer · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,260,113 Underlying: Class A Ordinary Shares · 964,818 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
May 20, 2022 Filed May 24, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	366,085	$0.65 Strike: $11.50	$236,783.78	Disclosure SEC source: 0000899243-22-019307 · doc4.xml · derivative · entry 2 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,295,295 Underlying: Class A Ordinary Shares · 366,085 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
May 19, 2022 Filed May 24, 2022 01:00 UTC	AlTi Global, Inc. GLBL · Entity 5344	PurchaseWarrants · Derivative	29,210	$0.51 Strike: $11.50	$14,990.57	Disclosure SEC source: 0000899243-22-019307 · doc4.xml · derivative · entry 1 Pangaea Three-B, LP · CIK 0001754782 · 10% owner Yu Peter · CIK 0001426890 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,929,210 Underlying: Class A Ordinary Shares · 29,210 shares Expires not disclosed F1 · shares: Represents securities held by Pangaea Three-B, LP. Pangaea Three-B, LP is controlled by Peter Yu, the Issuer's Chairman and Chief Executive Officer. 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. F2 · derivative.exercise_date: Each warrant becomes exercisable on the later of one year after the closing of the Company's initial public offering or 30 days after the completion of an initial business combination, as described in the Issuer's prospectus filed with the SEC. F3 · derivative.expiration_date: The warrants expire five years after the completion of an initial business combination, or earlier upon redemption or liquidation, as described in the Issuer's prospectus filed with the SEC. Read SEC document
February 16, 2018 Filed Feb 21, 2018 22:03 UTC	Pangaea Logistics Solutions Ltd. PANL · Entity 5424	GrantCommon Share $0.0001 Par Value	29,617	$2.87	$85,000.79	Disclosure SEC source: 0001606909-18-000016 · wf-form4_151925059465597.xml · nonDerivative · entry 1 Pangaea One Acquisition Holdings XIV, LLC · CIK 0001651379 · 10% owner Pangaea One, L.P. · CIK 0001622015 · 10% owner Cartesian Capital Group Holding, LLC · CIK 0001622320 · 10% owner Pangaea One Holding, LLC · CIK 0001622319 · 10% owner Pangaea One Parallel Fund (B), L.P. · CIK 0001622016 · 10% owner Pangaea One GP, LLC · CIK 0001622014 · 10% owner Yu Peter · CIK 0001426890 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,547 F1 · kind: Unrestricted shares were issued pursuant to the Pangaea Logistics Solutions Ltd. 2014 Share Incentive Plan (as amended and restated by the Board of Directors on May 9, 2016). Read SEC document
November 07, 2016 Filed Nov 9, 2016 21:31 UTC	Pangaea Logistics Solutions Ltd. PANL · Entity 5424	GrantCommon Share $0.0001 Par Value	10,082	$0.00	$0.00	Disclosure SEC source: 0001606909-16-000284 · wf-form4_147872708367201.xml · nonDerivative · entry 1 Pangaea One Acquisition Holdings XIV, LLC · CIK 0001651379 · 10% owner Pangaea One, L.P. · CIK 0001622015 · 10% owner Cartesian Capital Group Holding, LLC · CIK 0001622320 · 10% owner Pangaea One Holding, LLC · CIK 0001622319 · 10% owner Pangaea One Parallel Fund (B), L.P. · CIK 0001622016 · 10% owner Pangaea One GP, LLC · CIK 0001622014 · 10% owner Yu Peter · CIK 0001426890 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,930 F1 · kind: Shares are subject to a Restricted Share Grant Notice and Agreement and were issued pursuant to the Pangaea Logistics Solutions Ltd. 2014 Share Incentive Plan (as amended and restated by the Board of Directors on May 9, 2016). Fifty percent of the shares vest on the first anniversary of the date of grant and the remaining fifty percent vest on the second anniversary of the date of grant. F1 · price: Shares are subject to a Restricted Share Grant Notice and Agreement and were issued pursuant to the Pangaea Logistics Solutions Ltd. 2014 Share Incentive Plan (as amended and restated by the Board of Directors on May 9, 2016). Fifty percent of the shares vest on the first anniversary of the date of grant and the remaining fifty percent vest on the second anniversary of the date of grant. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.