Form 8-K - Current report

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of report (Date of earliest event reported): June 29, 2023

AlTi Global, Inc.

(Exact name of registrant as specified in its charter)

Delaware

001-40103

92-1552220

(State or other jurisdiction

of incorporation)

(Commission

File Number)

(I.R.S. Employer

Identification No.)


520 Madison Avenue, 21st Floor
New York, New York		10022
(Address of principal executive offices)		(Zip Code)

(212) 396-5904

(Registrant’s telephone number, including area code)

Not Applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading
Symbol(s)

Name of each exchange

on which registered

Class A common stock, par value $0.0001 per share

ALTI

Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 5.07

Submission of Matters to a Vote of Security Holders.

On June 29, 2023, AlTi Global, Inc. (the “Company”), held its 2023 Annual Meeting of Stockholders (the “Annual Meeting”). The final voting results for the proposals submitted to a vote for the Company’s stockholders at the Annual Meeting are as follows:

Proposal 1: Election of 11 directors to the Board of Directors of the Company to hold office until the Company’s 2024 Annual Meeting of Stockholders or until their respective successors are elected and qualified:


Director	Votes For	Votes Withheld	Broker Non-Votes
Ali Bouzarif	74,444,468	517,703	537,891
Norma Corio	74,444,563	517,608	537,891
Nancy Curtin	74,543,645	418,526	537,891
Kevin T. Kabat	74,961,712	459	537,891
Timothy Keaney	74,961,712	459	537,891
Judy Lee	74,961,712	459	537,891
Spiros Maliagros	74,548,443	413,728	537,891
Craig Smith	74,444,463	517,708	537,891
Michael Tiedemann	74,567,819	394,352	537,891
Tracey Brophy Warson	74,961,714	457	537,891
Peter Yu	71,756,894	3,205,277	537,891

Proposal 2: Ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the 2023 fiscal year.

Votes For

Votes

Against

Abstentions

Broker

Non-Votes

75,499,463

599

No other matters were considered or voted upon at the Annual Meeting.

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


ALTI GLOBAL, INC.

By:		/s/ Michael Tiedemann
		Name: Michael Tiedemann
		Title: Chief Executive Officer

Date: July 3, 2023

Document and Entity Information	Jun. 29, 2023
Cover [Abstract]
Security Exchange Name	NASDAQ
Amendment Flag	false
Entity Central Index Key	0001838615
Document Type	8-K
Document Period End Date	Jun. 29, 2023
Entity Registrant Name	AlTi Global, Inc.
Entity Incorporation State Country Code	DE
Entity File Number	001-40103
Entity Tax Identification Number	92-1552220
Entity Address, Address Line One	520 Madison Avenue
Entity Address, Address Line Two	21st Floor
Entity Address, City or Town	New York
Entity Address, State or Province	NY
Entity Address, Postal Zip Code	10022
City Area Code	(212)
Local Phone Number	396-5904
Written Communications	false
Soliciting Material	false
Pre Commencement Tender Offer	false
Pre Commencement Issuer Tender Offer	false
Security 12b Title	Class A common stock, par value $0.0001 per share
Trading Symbol	ALTI
Entity Emerging Growth Company	true
Entity Ex Transition Period	false