AlTi Global Inc
For the period ended Jun 30, 2024. Filed Aug 9, 2024.
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Jun 30, 2024 · Filed Aug 9, 2024
ALTI$2.47+5.6%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
The following exhibits are filed or furnished herewith:
| Exhibit Number | Description |
| 3.1 | Certificate of Designation of Series C Cumulative Convertible Preferred Stock, dated March 27, 2024 (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on March 27, 2024). |
| 4.1 | Warrant to Purchase Class A Common Stock, dated March 27, 2024 (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K filed on March 27, 2024). |
| 4.2 | Warrant to Purchase Class A Common Stock, dated May 15, 2024 (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K filed on May 15, 2024) |
| 10.1 | Membership Interest Purchase Agreement by and among AlTi Global, Inc., AlTi Global Wealth Management Holdings Limited, East End Advisors, LLC, EEA Holding Company, LLC, and, solely for the limited purposes set forth therein, David Salomon, Richard Salomon, Peter Nadosy and Brian Clifford, dated April 1, 2024 (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on April 1, 2024). |
| 10.2 | Investor Rights Agreement, dated July 31, 2024, by and between AlTi Global, Inc. and Allianz Strategic Investments S.à.r.l. (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on July 31, 2024). |
| 10.3 | Fourth Amended and Restated Limited Liability Company Agreement of AlTi Global Capital, LLC, dated as of July 31, 2024 (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K filed on July 31, 2024). |
| 10.4* | Fourth Amendment to the Credit Agreement, dated August 5, 2024 , between the Company, BMO Harris Bank N.A., and the lenders party thereto. |
| 10.5*# | Form of Performance-Based Restricted Stock Units and Award Agreement under the Company’s 2023 Stock Incentive Plan. |
| 10.6*# | Form of Performance-Based Restricted Stock Units and Award Agreement for Non-U.S. Participants under the Company’s 2023 Stock Incentive Plan. |
| 10.7*# | Form of Performance-Based Restricted Stock Units and Award Agreement for Swiss Participants under the Company’s 2023 Stock Incentive Plan. |
| 31.1* | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 31.2* | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 32.1** | Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 32.2** | Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| * | Filed herewith. |
| ** | Furnished herewith. |
| # | Indicates a management contract or compensatory plan. |
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