Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AlTi Global, Inc.ALTI · Entity 5344 | Director · See remarks | March 11, 2024 | April 04, 2024 |
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 March 11, 2024 · Filed April 04, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 36,260 |
Ending reported balance
After 2024-04-02 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-03-11 · Exercise / conversion · Acquired 75,000 · Balance 142,362.28 F1: Each Class B Unit (a "Class B Unit") of AlTi Global Capital, LLC ("Umbrella") is paired with a share of Class B Common Stock of the Issuer ("Class B Common Stock", and together with a Class B Unit, a "Paired Interest"). Pursuant to the Third Amended and Restated Limited Liability Agreement, dated as of July 31, 2023 (as amended from time to time, the "LLC Agreement"), of Umbrella, a Paired Interest is exchangeable at any time for a share of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis, subject to equitable adjustments for stock splits, stock dividends and reclassifications. As the holder exchanges the Paired Interests pursuant to the LLC Agreement, the shares of Class B Common Stock included in the Paired Interests will automatically be canceled and the Class B Common Units included in the Paired Interests shall be automatically transferred to the Issuer and converted into and become an equal number of Class A Common Units in Umbrella. Row 2 · 2024-04-02 · Disposition to issuer · Disposed 106,102.28 · Balance 36,260 |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 2,072,165 |
Reported balance
After 2024-03-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-03-11 · Exercise / conversion · Disposed 75,000 · Balance 2,072,165 F1: Each Class B Unit (a "Class B Unit") of AlTi Global Capital, LLC ("Umbrella") is paired with a share of Class B Common Stock of the Issuer ("Class B Common Stock", and together with a Class B Unit, a "Paired Interest"). Pursuant to the Third Amended and Restated Limited Liability Agreement, dated as of July 31, 2023 (as amended from time to time, the "LLC Agreement"), of Umbrella, a Paired Interest is exchangeable at any time for a share of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis, subject to equitable adjustments for stock splits, stock dividends and reclassifications. As the holder exchanges the Paired Interests pursuant to the LLC Agreement, the shares of Class B Common Stock included in the Paired Interests will automatically be canceled and the Class B Common Units included in the Paired Interests shall be automatically transferred to the Issuer and converted into and become an equal number of Class A Common Units in Umbrella. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Class B Unit (a "Class B Unit") of AlTi Global Capital, LLC ("Umbrella") is paired with a share of Class B Common Stock of the Issuer ("Class B Common Stock", and together with a Class B Unit, a "Paired Interest"). Pursuant to the Third Amended and Restated Limited Liability Agreement, dated as of July 31, 2023 (as amended from time to time, the "LLC Agreement"), of Umbrella, a Paired Interest is exchangeable at any time for a share of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis, subject to equitable adjustments for stock splits, stock dividends and reclassifications. As the holder exchanges the Paired Interests pursuant to the LLC Agreement, the shares of Class B Common Stock included in the Paired Interests will automatically be canceled and the Class B Common Units included in the Paired Interests shall be automatically transferred to the Issuer and converted into and become an equal number of Class A Common Units in Umbrella.
Transaction history
JSON APIPurchases/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 |
|---|---|---|---|---|---|---|
| April 02, 2024 Filed Apr 4, 2024 19:49 UTC | AlTi Global, Inc. ALTI · Entity 5344 | Disposition to issuerClass A Common Stock | 106,102.28 | $5.05 | $535,816.51 |
DisclosureSEC source: 0000950170-24-041998 · ownership.xml · nonDerivative · entry 2 Smith Craig Lindsay · CIK 0001959721 · Director · See remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,260 Read SEC document |
| March 11, 2024 Filed Apr 4, 2024 19:49 UTC | AlTi Global, Inc. ALTI · Entity 5344 | Exercise / conversionClass B Common Stock · Derivative | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-041998 · ownership.xml · derivative · entry 3 Smith Craig Lindsay · CIK 0001959721 · Director · See remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,072,165 Underlying: Class A Common Stock · 75,000 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: Each Class B Unit (a "Class B Unit") of AlTi Global Capital, LLC ("Umbrella") is paired with a share of Class B Common Stock of the Issuer ("Class B Common Stock", and together with a Class B Unit, a "Paired Interest"). Pursuant to the Third Amended and Restated Limited Liability Agreement, dated as of July 31, 2023 (as amended from time to time, the "LLC Agreement"), of Umbrella, a Paired Interest is exchangeable at any time for a share of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis, subject to equitable adjustments for stock splits, stock dividends and reclassifications. As the holder exchanges the Paired Interests pursuant to the LLC Agreement, the shares of Class B Common Stock included in the Paired Interests will automatically be canceled and the Class B Common Units included in the Paired Interests shall be automatically transferred to the Issuer and converted into and become an equal number of Class A Common Units in Umbrella. F1 · derivative.exercise_date: Each Class B Unit (a "Class B Unit") of AlTi Global Capital, LLC ("Umbrella") is paired with a share of Class B Common Stock of the Issuer ("Class B Common Stock", and together with a Class B Unit, a "Paired Interest"). Pursuant to the Third Amended and Restated Limited Liability Agreement, dated as of July 31, 2023 (as amended from time to time, the "LLC Agreement"), of Umbrella, a Paired Interest is exchangeable at any time for a share of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis, subject to equitable adjustments for stock splits, stock dividends and reclassifications. As the holder exchanges the Paired Interests pursuant to the LLC Agreement, the shares of Class B Common Stock included in the Paired Interests will automatically be canceled and the Class B Common Units included in the Paired Interests shall be automatically transferred to the Issuer and converted into and become an equal number of Class A Common Units in Umbrella. F1 · derivative.expiration_date: Each Class B Unit (a "Class B Unit") of AlTi Global Capital, LLC ("Umbrella") is paired with a share of Class B Common Stock of the Issuer ("Class B Common Stock", and together with a Class B Unit, a "Paired Interest"). Pursuant to the Third Amended and Restated Limited Liability Agreement, dated as of July 31, 2023 (as amended from time to time, the "LLC Agreement"), of Umbrella, a Paired Interest is exchangeable at any time for a share of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis, subject to equitable adjustments for stock splits, stock dividends and reclassifications. As the holder exchanges the Paired Interests pursuant to the LLC Agreement, the shares of Class B Common Stock included in the Paired Interests will automatically be canceled and the Class B Common Units included in the Paired Interests shall be automatically transferred to the Issuer and converted into and become an equal number of Class A Common Units in Umbrella. Read SEC document |
| March 11, 2024 Filed Apr 4, 2024 19:49 UTC | AlTi Global, Inc. ALTI · Entity 5344 | Exercise / conversionClass A Common Stock | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-041998 · ownership.xml · nonDerivative · entry 1 Smith Craig Lindsay · CIK 0001959721 · Director · See remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 142,362.28 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 · price: Each Class B Unit (a "Class B Unit") of AlTi Global Capital, LLC ("Umbrella") is paired with a share of Class B Common Stock of the Issuer ("Class B Common Stock", and together with a Class B Unit, a "Paired Interest"). Pursuant to the Third Amended and Restated Limited Liability Agreement, dated as of July 31, 2023 (as amended from time to time, the "LLC Agreement"), of Umbrella, a Paired Interest is exchangeable at any time for a share of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis, subject to equitable adjustments for stock splits, stock dividends and reclassifications. As the holder exchanges the Paired Interests pursuant to the LLC Agreement, the shares of Class B Common Stock included in the Paired Interests will automatically be canceled and the Class B Common Units included in the Paired Interests shall be automatically transferred to the Issuer and converted into and become an equal number of Class A Common Units in Umbrella. Read SEC document |
| February 15, 2024 Filed Feb 21, 2024 20:07 UTC | AlTi Global, Inc. ALTI · Entity 5344 | Exercise / conversionRestricted Stock Units · Derivative | 26,420.34 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-018284 · ownership.xml · derivative · entry 3 Smith Craig Lindsay · CIK 0001959721 · Director · See remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,840.66 Underlying: Class A Common Stock · 26,420.34 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: Each restricted stock unit represents a contingent right to receive one share of ALTI Class A Common Stock. F3 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning February 15, 2024. F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning February 15, 2024. Read SEC document |
| February 15, 2024 Filed Feb 21, 2024 20:07 UTC | AlTi Global, Inc. ALTI · Entity 5344 | Tax withholdingClass A Common Stock | 13,445.06 | $5.65 | $75,964.59 |
DisclosureSEC source: 0000950170-24-018284 · ownership.xml · nonDerivative · entry 2 Smith Craig Lindsay · CIK 0001959721 · Director · See remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,975.28 F2 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of restricted stock units. Read SEC document |
| February 15, 2024 Filed Feb 21, 2024 20:07 UTC | AlTi Global, Inc. ALTI · Entity 5344 | Exercise / conversionClass A Common Stock | 26,420.34 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-018284 · ownership.xml · nonDerivative · entry 1 Smith Craig Lindsay · CIK 0001959721 · Director · See remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,420.34 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 · price: Each restricted stock unit represents a contingent right to receive one share of ALTI Class A Common Stock. Read SEC document |
| June 07, 2023 Filed Feb 28, 2024 17:01 UTC | AlTi Global, Inc. ALTI · Entity 5344 | Disposition to issuerWarrant · Derivative | 217,548 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-022230 · ownership.xml · derivative · entry 2 Smith Craig Lindsay · CIK 0001959721 · Director · See remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 217,548 shares Expires not disclosed F1 · derivative.exercise_price: On June 7, 2023, pursuant to the Issuer's previously announced exchange offer, the Reporting Person exchanged 217,548 private placement warrants, which previously entitled the reporting person to purchase one share of Class A Common Stock, par value $0.0001 per share, of the Issuer ("Class A Common Stock") per warrant, at a price of $11.50 per share, for 54,387 shares of Class A Common Stock. F1 · price: On June 7, 2023, pursuant to the Issuer's previously announced exchange offer, the Reporting Person exchanged 217,548 private placement warrants, which previously entitled the reporting person to purchase one share of Class A Common Stock, par value $0.0001 per share, of the Issuer ("Class A Common Stock") per warrant, at a price of $11.50 per share, for 54,387 shares of Class A Common Stock. F2 · derivative.exercise_date: The warrants became exercisable on February 2, 2023, and will expire on February 2, 2028 or earlier upon redemption or liquidation. F2 · derivative.expiration_date: The warrants became exercisable on February 2, 2023, and will expire on February 2, 2028 or earlier upon redemption or liquidation. Read SEC document |
| June 07, 2023 Filed Feb 28, 2024 17:01 UTC | AlTi Global, Inc. ALTI · Entity 5344 | GrantClass A Common Stock | 54,387 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-022230 · ownership.xml · nonDerivative · entry 1 Smith Craig Lindsay · CIK 0001959721 · Director · See remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,362.28 F1 · shares: On June 7, 2023, pursuant to the Issuer's previously announced exchange offer, the Reporting Person exchanged 217,548 private placement warrants, which previously entitled the reporting person to purchase one share of Class A Common Stock, par value $0.0001 per share, of the Issuer ("Class A Common Stock") per warrant, at a price of $11.50 per share, for 54,387 shares of Class A Common Stock. F1 · price: On June 7, 2023, pursuant to the Issuer's previously announced exchange offer, the Reporting Person exchanged 217,548 private placement warrants, which previously entitled the reporting person to purchase one share of Class A Common Stock, par value $0.0001 per share, of the Issuer ("Class A Common Stock") per warrant, at a price of $11.50 per share, for 54,387 shares of Class A Common Stock. F3 · balance_after: The beneficial ownership total disclosed reflects the Reporting Person's ownership through the reporting date, including the shares of ALTI Class A Common Stock received (net the shares withheld for tax purposes) through the vesting transaction previously reported on February 21, 2024. Read SEC document |
| May 31, 2023 Filed Jun 2, 2023 17:31 UTC | AlTi Global, Inc. ALTI · Entity 5344 | GrantRestricted Stock Units · Derivative | 79,261 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-014368 · doc4.xml · derivative · entry 1 Smith Craig Lindsay · CIK 0001959721 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 79,261 Underlying: Class A Common Stock · 79,261 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ALTI Class A Common Stock. F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning February 15, 2024. F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning February 15, 2024. 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.