AlTi Global Form 3 / Robert Weeber ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Weeber Robert

(Last)

(First)

(Middle)

520 MADISON AVENUE, 26TH FLOOR

(Street)

NEW YORK

10022

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
10/24/2023

3. Issuer Name and Ticker or Trading Symbol
AlTi Global, Inc. [ ALTI ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Pres, Intl. Wealth Mmgt

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A Common Stock	260,255	D
Class A Common Stock	10,825	I	See footnote⁽¹⁾
Class A Common Stock	6,905	I	See footnote⁽²⁾

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Class B Common Stock	⁽³⁾	⁽³⁾	Class A Common Stock	385,385	0	I	See footnote⁽¹⁾
Class B Common Stock	⁽³⁾	⁽³⁾	Class A Common Stock	230,639	0	I	See footnote⁽²⁾

Explanation of Responses:

1. Represents securities held by Swartberg Holding 1 AG. Swartberg Holding 1 AG is controlled by Robert Weeber. Consequently, Mr. Weeber may be deemed to share voting and dispositive control over the securities held by Swartberg Holding 1 AG, and thus to share beneficial ownership of such securities. Mr. Weeber disclaims beneficial ownership of the securities held by Swartberg Holding 1 AG, except to the extent of his pecuniary interest therein.

2. Represents securities held by Swartberg Holding 2 AG. Swartberg Holding 2 AG is controlled by Robert Weeber. Consequently, Mr. Weeber may be deemed to share voting and dispositive control over the securities held by Swartberg Holding 2 AG, and thus to share beneficial ownership of such securities. Mr. Weeber disclaims beneficial ownership of the securities held by Swartberg Holding 2 AG, except to the extent of his pecuniary interest therein.

3. 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" together with Class B Unit, the "Paired Interests"). 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.

Remarks:

Exhibit 24 Power of Attorney filed herewith.

	/s/ Colleen Graham, Attorney-in-fact	10/31/2023
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

AlTi Global (ALTI) Form 3AlTi Global / Robert Weeber ownership change