0001104659-16-144659.txt : 20160914
0001104659-16-144659.hdr.sgml : 20160914
20160914165003
ACCESSION NUMBER: 0001104659-16-144659
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160914
FILED AS OF DATE: 20160914
DATE AS OF CHANGE: 20160914
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: 161885500
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: 161885501
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
2016-09-14
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
2016-09-14
4
S
0
1000000
6.15
D
2273701
D
The 1,000,000 of the shares of Class A Common Stock, par value $0.001 per share ("Common Stock"), of Tiptree Financial Inc. (the "Company") whose disposition is being reported in this Form 4 were previously owned by Nomura Securities Co., Ltd. (the "Sellers"). Pursuant to that Stock Purchase Agreement, dated as of September 14, 2016 (the "Purchase Agreement"), by and among the Company, Caroline Holdings LLC, a Delaware limited liability company (the "Buyer") and Tiptree Financial Inc. with the Sellers, the Sellers sold to the Buyer and the Buyer purchased from the Sellers, 1,000,000 shares of Common Stock for an aggregate purchase price of $6,150,000.
/s/ Yasuo Kashiwagi
2016-09-14