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