Kevin P. Moran - 03 Jan 2023 Form 3 Insider Report for Alvarium Tiedemann Holdings, Inc. (ALTI)

Role
Chief Operating Officer
Signature
/s/ Christine Zhao, Attorney-in-fact
Issuer symbol
ALTI
Transactions as of
03 Jan 2023
Transactions value $
$0
Form type
3
Filing time
13 Jan 2023, 16:08:40 UTC
Next filing
02 Jun 2023
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ALTI Class B Common Stock 03 Jan 2023 Class B Common Stock 846K $0.00 Direct F1
holding ALTI Warrants to purchase Class A Common Stock 03 Jan 2023 Class A Common Stock 85.7K $11.50 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each Class B Unit (a "Class B Unit") of Alvarium Tiedemann Capital, LLC ("Umbrella") is paired with a share of Class B Common Stock of the Issuer ("Class B Common Stock" and collectively, the "Paired Interests"). Pursuant to the Second Amended and Restated Limited Liability Agreement, dated as of January 3, 2023 (as amended form time to time, the "LLC Agreement"), of Umbrella, a Paired Interest is exchangeable at any time for a share of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis, subject to equitable adjustments for stock splits, stock dividends and reclassifications. As the holder exchanges the Paired Interests pursuant to the LLC Agreement, the shares of Class B Common Stock included in the Paired Interests will automatically be canceled and the Class B Common Units included in the Paired Interests shall be automatically transferred to the Issuer and converted into and become an equal number of Class A Common Units in Umbrella.

Remarks:

Exhibit 24 Power of Attorney filed herewith.