04/09/2026 | Press release | Distributed by Public on 04/09/2026 18:46
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FORM 3
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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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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
| 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 control number. | |||
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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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Restricted Stock Units | (1) | (1) | Class A Common Stock | 9,491.525 | (2) | D | |
| Performance Restricted Stock Unit | (3) | (3) | Class A Common Stock | 96,580.992 | (2) | D | |
| Restricted Stock Units | (4) | (4) | Class A Common Stock | 90,644.116 | (2) | D | |
| Restricted Stock Units | (5) | (5) | Class A Common Stock | 91,243.638 | (2) | D | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Curtin Nancy Ann C/O ALTI GLOBAL, INC. 22 VANDERBILT AVE, 27TH FLOOR NEW YORK, NY 10017 |
X | Interim CEO | ||
| /s/ Colleen Graham, Attorney-in-Fact | 04/09/2026 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | These restricted stock units ("RSUs") vest in three equal annual installments beginning February 15, 2025. |
| (2) | Each RSU and performance restricted stock unit ("PRSU") represents a contingent right to receive one share of AlTi Global, Inc.'s (the "Company's") Class A Common Stock. |
| (3) | 33.33% of the PRSUs shall be eligible to vest at the end of each of three annual performance periods beginning on March 31, 2025, subject to the reporting person's continued service with the Company through the applicable performance period, based on the total shareholder return of the Company's Class A Common Stock exceeding certain thresholds. The maximum number of units that may vest over three years is 193,161.98 (200% of the target number). |
| (4) | These RSUs vest in three equal annual installments beginning February 15, 2026. |
| (5) | These RSUs vest in three equal annual installments beginning February 15, 2027. |