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