0000950170-24-092079.txt : 20240806
0000950170-24-092079.hdr.sgml : 20240806
20240806180614
ACCESSION NUMBER: 0000950170-24-092079
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240731
FILED AS OF DATE: 20240806
DATE AS OF CHANGE: 20240806
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ALLIANZ SE
CENTRAL INDEX KEY: 0001127508
STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411]
ORGANIZATION NAME: 02 Finance
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40103
FILM NUMBER: 241180784
BUSINESS ADDRESS:
STREET 1: KOENIGINSTRASSE 28
CITY: MUNICH
STATE: 2M
ZIP: 80802
BUSINESS PHONE: 011498938000
MAIL ADDRESS:
STREET 1: KOENIGINSTRASSE 28
CITY: MUNICH
STATE: 2M
ZIP: 80802
FORMER NAME:
FORMER CONFORMED NAME: ALLIANZ AKTIENGESELLSCHAFT
DATE OF NAME CHANGE: 20001031
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AlTi Global, Inc.
CENTRAL INDEX KEY: 0001838615
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
ORGANIZATION NAME: 02 Finance
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 520 MADISON AVE
STREET 2: 21ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-461-6363
MAIL ADDRESS:
STREET 1: 520 MADISON AVE
STREET 2: 21ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: Alvarium Tiedemann Holdings, Inc.
DATE OF NAME CHANGE: 20230104
FORMER COMPANY:
FORMER CONFORMED NAME: Cartesian Growth Corp
DATE OF NAME CHANGE: 20201231
3
1
ownership.xml
3
X0206
3
2024-07-31
0
0001838615
AlTi Global, Inc.
ALTI
0001127508
ALLIANZ SE
C/O MICHAEL SIEBURG
KOENIGINSTRASSE 28
MUNICH
2M
80802
GERMANY
false
false
true
false
Class A Common Stock
19318580.96
I
By Allianz Strategic Investments S.a.r.l.
Series A Preferred Stock
8.70
Class A Common Stock
I
By Allianz Strategic Investments S.a.r.l.
Warrants to Purchase Class A Common Stock
7.40
2024-07-31
2029-07-31
Class A Common Stock
5000000
I
By Allianz Strategic Investments S.a.r.l.
The shares of Class A Common Stock, par value $0.0001 per share ("Class A Common Stock") of AlTi Global, Inc., a Delaware corporation (the "Issuer") were acquired in a private placement and are held directly by Allianz Strategic Investments S.a.r.l. ("ASI"). ASI is wholly owned by Allianz Finance II Luxembourg S.a.r.l., which in turn is wholly owned by the reporting person. The reporting person is the ultimate parent company of ASI and has sole voting and dispositive power with respect to the shares held by ASI.
The shares of Series A Cumulative Convertible Preferred Stock (the "Series A Preferred Stock") of the Issuer are convertible into shares of Class A Common Stock (i) by the reporting person at any time after July 31, 2026 and (ii) by the Issuer at any time after July 31, 2027, subject to certain conditions; provided, that the Series A Preferred Stock is subject to a beneficial ownership cap that prohibits the conversion of the Series A Preferred Stock into shares of Class A Common stock to the extent such conversion would cause ASI's beneficial ownership, together with its affiliates, to exceed 24.9% (the "Ownership Cap"); provided, further, that in the event such a conversion would cause ASI's beneficial ownership, together with its affiliates, to exceed the Ownership Cap, the Issuer shall issue to ASI shares of the Issuer's Class C Non-Voting Common Stock, in lieu of shares of Class A Common Stock.
(Continued from footnote 2) The Series A Preferred Stock has no stated maturity and therefore has no expiration date.
The Series A Preferred Stock has a stated value of $1,000 per share and is convertible into shares of Class A Common Stock at a conversion price of $8.70, subject to customary adjustments.
The shares of Series A Preferred Stock were acquired in a private placement and are held directly by ASI.
Subject to the Ownership Cap, the Warrants to purchase Class A Common Stock (the "Warrants") are immediately exercisable in shares of Class A Common Stock.
The Warrants were acquired in a private placement and are held directly by ASI.
/s/ Michael Sieburg
2024-08-06
/s/ Petra Maerkl
2024-08-06