0001104659-16-131011.txt : 20160705
0001104659-16-131011.hdr.sgml : 20160705
20160705165414
ACCESSION NUMBER: 0001104659-16-131011
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160623
FILED AS OF DATE: 20160705
DATE AS OF CHANGE: 20160705
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: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33549
FILM NUMBER: 161751213
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: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33549
FILM NUMBER: 161751214
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
3
1
a3.xml
3
X0206
3
2016-06-23
0
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
3273701
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.
According to a Form 8-K filing by the Issuer on June 23, 2016, the outstanding number of Class A shares was reduced to 29,257,996. The reporting person's holdings became 11.189%, which is greater than 10%, and hence we are filing this Form 3.
/s/ Hideo Kitano
2016-07-04