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