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