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 3, 2024

____________________

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, 26th Floor New York, New York						10022
(Address of principal executive offices)						(Zip Code)

(212) 396-5900

(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 8.01 Other Events.

On June 3, 2024, Michael Tiedemann, the Chief Executive Officer of AlTi Global, Inc. (the “Company”), sent an email message to employees of the Company to encourage employees who hold shares of the Company’s common stock as of the close of business on May 1, 2024, to vote their shares in connection with the 2024 annual meeting of stockholders of the Company to be held on June 26, 2024. A copy of the email to employees is attached hereto as Exhibit 99.1 and is incorporated by reference herein.

Additional Information and Where to Find It

The Company filed a definitive proxy statement on Schedule 14A with the SEC on May 10, 2024, in connection with the Company’s solicitation of proxies for use at the 2024 annual meeting of stockholders of the Company (“stockholders”). The definitive proxy statement for the 2024 annual meeting of stockholders (the “proxy statement”) was mailed to the stockholders of record as of May 1, 2024. Before making any voting decision, stockholders are urged to read the proxy statement and other relevant materials. The proxy statement and any other documents filed by the Company with the SEC, may be obtained free of charge at the SEC’s website at www.sec.gov. In addition, stockholders may obtain free copies of the documents filed with the SEC from https://ir.alti-global.com/financial-information/sec-filings.

The Company and its executive officers and directors may be deemed to be participants in the solicitation of proxies in connection with certain investment transactions as described in the proxy statement. Information about those executive officers and directors of the Company and their ownership of the Company’s common stock and other equity securities is set forth in the Company’s Annual Report on Form 10-K for the fiscal year ended December 31, 2023, which was filed with the SEC on March 22, 2024, and amended by the Form 10-K/A filed with the SEC on April 5, 2024. Stockholders may obtain additional information regarding the direct and indirect interests of the Company and its executive officers and directors in such investment transactions by reading the proxy statement and other relevant materials.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits


Exhibit No.						Description
99.1						AlTi Global, Inc. CEO email to employees
104						Cover Page Interactive Data File (embedded within the Inline XBRL Document)

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.



Date: June 3, 2024						ALTI GLOBAL, INC.
						/s/ Stephen Yarad


						Name: Stephen Yarad
						Title: Chief Financial Officer

June 3, 2024 Dear Stockholders of AlTi Global, Inc., You have previously received proxy materials in connection with the 2024 Annual Meeting of Stockholders of AlTi Global, Inc. to be held on June 26, 2024, at 10:00 AM, ET. The Proxy Statement and any other materials may be obtained free of charge at the SEC’s website at www.sec.gov and our website at https://ir.alti-global.com/financial-information/sec- filings. According to our latest records, your Proxy Vote for this meeting has not yet been received. The Board of Directors of AlTi Global, Inc. recommends that stockholders vote FOR the following proposals: 1. To elect as directors the six nominees named in the Proxy Statement for a term of office expiring at the 2025 Annual Meeting of Stockholders or until their respective successors are duly elected and qualified. The nominees are: 1. Ali Bouzarif 2. Norma Corio 3. Mark Furlong 4. Timothy Keaney 5. Michael Tiedemann 6. Tracey Brophy Warson 2. To approve, for purposes of complying with Nasdaq Rule 5635(b), the issuance of shares of Class A Common Stock and Series A Preferred Stock to Allianz Strategic Investments S.à.r.l., including shares of Class A Common Stock issuable upon the conversion of the Series A Preferred Stock and the exercise of warrants to purchase Class A Common Stock. 3. To approve an amendment to the Certificate of Incorporation of the Company to authorize a new class of common stock to be designated as Class C Non-Voting Common Stock. 4. To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2024. Your vote is important, regardless of the number of shares you own. A failure to vote will have the same effect as voting AGAINST the proposal to amend our Certificate of Incorporation. I urge you to vote your shares today. Voting is simple and can be done using any of the following methods:

VOTE BY INTERNET: Go to www.ProxyVote.com and follow the instructions on the website using your control number located on your proxy card OR scan the QR barcode found on your proxy card. VOTE BY TELEPHONE: You can cast your vote by calling 1-800-690-6903. VOTE BY MAIL: You can cast your vote by signing, dating, and mailing your proxy card in the postage-prepaid return envelope provided. Your participation is important — please vote today! Your vote is important regardless of the number of shares you own. Thank you in advance for your support. Sincerely, Michael Tiedemann If you have recently mailed your proxy, please accept our thanks and disregard this request.

Cover	Jun. 03, 2024
Cover [Abstract]
Entity Registrant Name	AlTi Global, Inc.
Document Type	8-K
Document Period End Date	Jun. 03, 2024
Entity Incorporation, State or Country Code	DE
Entity File Number	001-40103
Entity Tax Identification Number	92-1552220
Entity Address, Address Line One	520 Madison Avenue, 26th Floor
Entity Address, City or Town	New York
Entity Address, State or Province	NY
Entity Address, Postal Zip Code	10022
Local Phone Number	396-5900
City Area Code	(212)
Written Communications	false
Soliciting Material	false
Pre-commencement Tender Offer	false
Pre-commencement Issuer Tender Offer	false
Title of 12(b) Security	Class A common stock, par value $0.0001 per share
Trading Symbol	ALTI
Security Exchange Name	NASDAQ
Entity Emerging Growth Company	true
Entity Ex Transition Period	false
Entity Central Index Key	0001838615
Amendment Flag	false