SEC Contract Filing

Filing Date: 2023-06-07

Document Content:
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<TYPE>EX-10.1
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<FILENAME>d463659dex101.htm
<DESCRIPTION>EX-10.1
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="right"><B>Exhibit 10.1 </B></P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>WARRANT AMENDMENT </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>AMENDMENT NO.&nbsp;1 TO AMENDED AND RESTATED WARRANT AGREEMENT </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">This Amendment (this &#147;<B><I>Amendment</I></B>&#148;) is made as of June&nbsp;7, 2023, by and between AlTi Global, Inc., a Delaware
corporation (the &#147;<B><I>Company</I></B>&#148;), and Continental Stock Transfer&nbsp;&amp; Trust Company, a New York corporation, as warrant agent (the &#147;<B><I>Warrant Agent</I></B>&#148;), and constitutes an amendment to that certain
Amended and Restated Warrant Agreement, dated as of January&nbsp;3, 2023, between the Company (f/k/a Cartesian Growth Corporation (&#147;<B><I>SPAC</I></B>&#148;) and the Warrant Agent (the &#147;<B><I>Existing Warrant Agreement</I></B>&#148;).
Capitalized terms used but not otherwise defined in this Amendment shall have the meanings given to such terms in the Existing Warrant Agreement. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">WHEREAS, Section&nbsp;9.8 of the Existing Warrant Agreement provides that the Company and the Warrant Agent may amend, subject to certain
conditions provided therein, the Existing Warrant Agreement with the vote or written consent of registered holders of at least 65% of the number of the then-outstanding Public Warrants and, solely with respect to any amendment to the terms of the
Private Warrants or any provision of the Existing Agreement with respect to the Sponsor Warrants, the vote or written consent of 65% of the number of the then-outstanding Private Warrants; </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">WHEREAS, the Company desires to amend the Existing Warrant Agreement to provide the Company with the right to require the registered holders
of the Warrants to exchange all of the outstanding Warrants for Common Stock, on the terms and subject to the conditions set forth herein; and </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">WHEREAS, in the exchange offer and consent solicitation undertaken by the Company pursuant to the Registration Statement on Form <FONT
STYLE="white-space:nowrap">S-4</FONT> filed with the U.S. Securities and Exchange Commission, the registered holders of more than 65% of the number of the then outstanding Public Warrants and more than 65% of the Private Warrants have consented to
and approved this Amendment. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">NOW, THEREFORE, in consideration of the mutual agreements contained herein and other good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged, and intending to be legally bound hereby, the parties hereto agree to amend the Existing Warrant Agreement as set forth herein. </P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="5%" VALIGN="top" ALIGN="left">1.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><U>Amendment of Existing Warrant Agreement</U>. The Existing Warrant Agreement is hereby amended by adding:
</P></TD></TR></TABLE> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="5%" VALIGN="top" ALIGN="left">(a)</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">the new&nbsp;Section 6A&nbsp;thereto: </P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">&#147;6A. Mandatory Exchange. </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">6A.1. <U>Company Election to Exchange</U>. Notwithstanding any other provision in this Agreement to the contrary, all (and not less than all)
of&nbsp;the outstanding Warrants may be exchanged, at the option of the Company, at any time while they are exercisable and prior to their expiration, at the office of the Warrant Agent, upon notice to the registered holders of the then outstanding
Warrants, as described in Section&nbsp;6A.2 below, for Class&nbsp;A Shares (or any Alternative Issuance pursuant to Section&nbsp;4.6), at the exchange rate of 0.225 of Class&nbsp;A Shares (or any Alternative Issuance pursuant to Section&nbsp;4.6)
for each Warrant held by the registered holder thereof (the &#147;<B><I>Consideration</I></B>&#148;) (subject to equitable adjustment by the Company in the event of any stock splits, stock dividends, recapitalizations or similar transaction with
respect to the Class&nbsp;A Shares). In lieu of issuing fractional shares, in the event that a holder of Warrants would otherwise be entitled to receive a fractional interest in a Cl