0001104659-16-100414.txt : 20160226
0001104659-16-100414.hdr.sgml : 20160226
20160226141008
ACCESSION NUMBER: 0001104659-16-100414
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160224
FILED AS OF DATE: 20160226
DATE AS OF CHANGE: 20160226
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33549
FILM NUMBER: 161460456
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33549
FILM NUMBER: 161460457
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
4
1
a4.xml
4
X0306
4
2016-02-24
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
2016-02-24
4
S
0
13731
6.3172
D
3487385
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.
Hideo Kitano
2016-02-26