0001104659-16-097315.txt : 20160216
0001104659-16-097315.hdr.sgml : 20160215
20160216160215
ACCESSION NUMBER: 0001104659-16-097315
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20160216
DATE AS OF CHANGE: 20160216
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: TIPTREE FINANCIAL INC.
CENTRAL INDEX KEY: 0001393726
STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411]
IRS NUMBER: 383754322
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 780 THIRD AVENUE
STREET 2: 21ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-446-1410
MAIL ADDRESS:
STREET 1: 780 THIRD AVENUE
STREET 2: 21ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER COMPANY:
FORMER CONFORMED NAME: Care Investment Trust Inc.
DATE OF NAME CHANGE: 20070320
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NOMURA HOLDINGS INC
CENTRAL INDEX KEY: 0001163653
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
STATE OF INCORPORATION: M0
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33549
FILM NUMBER: 161427846
BUSINESS ADDRESS:
STREET 1: 1-9-1 NIHONBASHI
STREET 2: CHUO-KU
CITY: TOKYO
STATE: M0
ZIP: 103-8645
BUSINESS PHONE: 810352551000
MAIL ADDRESS:
STREET 1: 1-9-1 NIHONBASHI
STREET 2: CHUO-KU
CITY: TOKYO
STATE: M0
ZIP: 103-8645
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NOMURA SECURITIES CO LTD
CENTRAL INDEX KEY: 0000110097
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 8880 [8880]
STATE OF INCORPORATION: M0
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33549
FILM NUMBER: 161427847
BUSINESS ADDRESS:
STREET 1: 1-9-1 NIHONBASHI
STREET 2: CHUO-KU
CITY: TOKYO
STATE: M0
ZIP: 103-8011
BUSINESS PHONE: 81332111811
MAIL ADDRESS:
STREET 1: 1-9-1 NIHONBASHI
STREET 2: CHUO-KU
CITY: TOKYO
STATE: M0
ZIP: 103-8011
5
1
a5.xml
5
X0306
5
2015-12-31
0
1
1
0001393726
TIPTREE FINANCIAL INC.
TIPT
0000110097
NOMURA SECURITIES CO LTD
1-9-1 NIHONBASHI
CHUO-KU
TOKYO
M0
103-8011
JAPAN
0
0
1
0
0001163653
NOMURA HOLDINGS INC
1-9-1 NIHONBASHI
CHUO-KU
TOKYO
M0
103-8645
JAPAN
0
0
1
0
Class A Common Stock
3
1134762
D
Class A Common Stock
2014-11-03
4
J
0
L
2595903
A
3730665
D
Class A Common Stock
2015-10-30
4
S
0
L
3700
6.8200
D
3726965
D
Class A Common Stock
2015-11-02
4
S
0
L
10314
6.9694
D
3716651
D
Class A Common Stock
2015-11-03
4
S
0
L
6727
6.8754
D
3709924
D
Class A Common Stock
2015-11-30
4
S
0
L
8230
6.8773
D
3701694
D
Class A Common Stock
2015-12-01
4
S
0
L
5908
6.9552
D
3695786
D
Class A Common Stock
2015-12-02
4
S
0
L
3529
6.9034
D
3692257
D
Class A Common Stock
2015-12-03
4
S
0
L
4401
6.5994
D
3687856
D
Class A Common Stock
2015-12-04
4
S
0
L
3805
6.5625
D
3684051
D
Class A Common Stock
2015-12-07
4
S
0
L
4400
6.5514
D
3679651
D
Class A Common Stock
2015-12-08
4
S
0
L
4700
6.5000
D
3674951
D
Class A Common Stock
2015-12-14
4
S
0
L
555
6.5072
D
3674396
D
Class A Common Stock
2015-12-15
4
S
0
L
2954
6.5078
D
3671442
D
Class A Common Stock
2015-12-16
4
S
0
L
6625
6.6710
D
3664817
D
Class A Common Stock
2015-12-17
4
S
0
L
9351
6.6182
D
3655466
D
Class A Common Stock
2015-12-18
4
S
0
L
7748
6.5732
D
3647718
D
Class A Common Stock
2015-12-21
4
S
0
L
5814
6.6038
D
3641904
D
Class A Common Stock
2015-12-22
4
S
0
L
6051
6.5497
D
3635853
D
Class A Common Stock
2015-12-23
4
S
0
L
786
6.5025
D
3635067
D
Class A Common Stock
2015-12-24
4
S
0
L
3600
6.5464
D
3631467
D
Class A Common Stock
2015-12-28
4
S
0
L
4771
6.5160
D
3626696
D
Class A Common Stock
2015-12-29
4
S
0
L
2053
6.5512
D
3624643
D
Class A Common Stock
2015-12-30
4
S
0
L
1926
6.5043
D
3622717
D
These shares of Class A Common Stock are owned directly by Nomura Securities Co., Ltd. ("NSC"), which is a wholly owned subsidiary of Nomura Holdings, Inc. ("NHI"), and accordingly NHI may be deemed to beneficially own the shares of Class A Common Stock held by NSC.
NSC received shares of Class A Common Stock of the Issuer upon conversion of partnership units of Tiptree Financial Partners, L.P. at a conversion price of $5.3616.
/s/ Yasuhito Tominaga
2016-02-16