0000769993-15-000528.txt : 20150415 0000769993-15-000528.hdr.sgml : 20150415 20150415175221 ACCESSION NUMBER: 0000769993-15-000528 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140917 FILED AS OF DATE: 20150415 DATE AS OF CHANGE: 20150415 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: GOLDMAN SACHS & CO CENTRAL INDEX KEY: 0000769993 STATE OF INCORPORATION: NY FISCAL YEAR END: 1127 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33549 FILM NUMBER: 15772768 BUSINESS ADDRESS: STREET 1: 200 WEST STREET STREET 2: C/O GOLDMAN SACHS & CO CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33549 FILM NUMBER: 15772769 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 FORMER NAME: FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/ DATE OF NAME CHANGE: 20010104 4 1 ownershipdoc03152015012806.xml X0306 4 2014-09-17-04:00 false 0001393726 TIPTREE FINANCIAL INC. TIPT 0000886982 GOLDMAN SACHS GROUP INC 200 WEST STREET NEW YORK NY 10282 false false true false 0000769993 GOLDMAN SACHS & CO 200 WEST STREET NEW YORK NY 10282 false false true false Class A Common Stock 2014-09-17-04:00 4 P false 3419 7.6125 A 5630264 I See footnotes Class A Common Stock 2014-09-17-04:00 4 S false 319 7.5659 D 5629945 I See footnotes Class A Common Stock 2014-09-18-04:00 4 P false 4584 7.5229 A 5634529 I See footnotes Class A Common Stock 2014-09-18-04:00 4 S false 2475 7.5136 D 5609419 I See footnotes Class A Common Stock 2014-09-19-04:00 4 P false 6092 7.4504 A 5638146 I See footnotes Class A Common Stock 2014-09-19-04:00 4 S false 30131 7.5662 D 5608015 I See footnotes Class A Common Stock 2014-09-22-04:00 4 P false 713 7.4494 A 5608728 I See footnotes Class A Common Stock 2014-09-22-04:00 4 S false 2631 7.3826 D 5606097 I See footnotes Class A Common Stock 2014-09-23-04:00 4 P false 381 7.2715 A 5606478 I See footnotes Class A Common Stock 2014-09-23-04:00 4 S false 381 7.2715 D 5606097 I See footnotes Class A Common Stock 2014-09-24-04:00 4 P false 539 7.2928 A 5606636 I See footnotes Class A Common Stock 2014-09-24-04:00 4 S false 3297 7.4333 D 5603339 I See footnotes Class A Common Stock 2014-09-25-04:00 4 P false 1458 7.4855 A 5604797 I See footnotes Class A Common Stock 2014-09-25-04:00 4 S false 2006 7.4822 D 5602791 I See footnotes Class A Common Stock 2014-09-26-04:00 4 P false 632 7.413 A 5603423 I See footnotes Class A Common Stock 2014-09-26-04:00 4 S false 1625 7.4137 D 5601798 I See footnotes Class A Common Stock 2014-09-29-04:00 4 P false 1070 7.2209 A 5602868 I See footnotes Class A Common Stock 2014-09-29-04:00 4 S false 1998 7.2117 D 5600870 I See footnotes Class A Common Stock 2014-09-30-04:00 4 P false 10894 7.8494 A 5611764 I See footnotes Class A Common Stock 2014-09-30-04:00 4 P false 60891 8.2574 A 5672655 I See footnotes Class A Common Stock 2014-09-30-04:00 4 S false 611 7.2589 D 5672044 I See footnotes Class A Common Stock 2014-09-30-04:00 4 S false 73801 8.2582 D 5598243 I See footnotes Class A Common Stock 2014-10-01-04:00 4 P false 5968 7.6956 A 5604211 I See footnotes Class A Common Stock 2014-10-01-04:00 4 S false 6560 7.7066 D 5597651 I See footnotes Class A Common Stock 2014-10-02-04:00 4 P false 690 7.4796 A 5598341 I See footnotes Class A Common Stock 2014-10-02-04:00 4 S false 690 7.4796 D 5597651 I See footnotes Class A Common Stock 2014-10-03-04:00 4 P false 652 7.4785 A 5598303 I See footnotes Class A Common Stock 2014-10-03-04:00 4 S false 654 7.4783 D 5597649 I See footnotes Class A Common Stock 2014-10-06-04:00 4 P false 449 7.3576 A 5598098 I See footnotes Class A Common Stock 2014-10-06-04:00 4 S false 449 7.3576 D 5609053 I See footnotes This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. The shares of common stock, par value $0.001 per share (the "Common Stock") of Tiptree Financial, Inc. (the "Company") reported herein as purchased and sold were beneficially owned directly by Goldman Sachs, and indirectly by GS Group. Without admitting any legal obligation, Goldman Sachs or another wholly-owned subsidiary of GS Group will remit appropriate profits, if any, to the Company. For purposes of Rule 13d-3(a) and Rule 16a-1(a) only (and not for any other applicable purpose), GS Group and Goldman Sachs may be deemed to beneficially own indirectly the 5,596,000 shares of Common Stock held by indirect subsidiaries of ProSight Global Holdings Ltd. ("ProSight Global") because (i) certain investment partnerships (the "Funds") own ProSight Investment LLC ("ProSight Investment") and ProSight Parallel Investment LLC ("ProSight Parallel Investment"), shareholders of ProSight Global, (ii) the general partners of the Funds are affiliates of GS Group and Goldman Sachs, (iii) Goldman Sachs is the investment manager of certain of the Funds and (iv) of the relationship between ProSight Equity Management Inc., the manager of ProSight Investment and ProSight Parallel Investment, and Goldman Sachs. As of October 6, 2014, Goldman Sachs beneficially owned directly, and GS Group may have been deemed to have beneficially owned indirectly, 13,053 shares of Common Stock, and Goldman Sachs also had open short positions of 61,159 shares of Common Stock, reflecting changes due to exempt transactions. Reflects a weighted average purchase price of $7.6125 per share, at prices ranging from $7.54 to $7.74 per share. Reflects a weighted average sale price of $7.5659 per share, at prices ranging from $7.5519 to $7.6021 per share. Reflects a weighted average purchase price of $7.5229 per share, at prices ranging from $7.41 to $7.63 per share. Reflects a weighted average sale price of $7.5136 per share, at prices ranging from $7.49 to $7.6273 per share. Reflects a weighted average purchase price of $7.4504 per share, at prices ranging from $7.36 to $7.63 per share. Reflects a weighted average sale price of $7.5662 per share, at prices ranging from $7.36 to $7.6 per share. Reflects a weighted average purchase price of $7.4494 per share, at prices ranging from $7.34 to $7.6797 per share. Reflects a weighted average sale price of $7.3826 per share, at prices ranging from $7.34 to $7.6797 per share. Reflects a weighted average purchase price of $7.2715 per share, at prices ranging from $7.19 to $7.4026 per share. Reflects a weighted average sale price of $7.2715 per share, at prices ranging from $7.19 to $7.4026 per share. Reflects a weighted average purchase price of $7.2928 per share, at prices ranging from $7.2077 to $7.49 per share. Reflects a weighted average sale price of $7.4333 per share, at prices ranging from $7.2077 to $7.5 per share. Reflects a weighted average purchase price of $7.4855 per share, at prices ranging from $7.47 to $7.5107 per share. Reflects a weighted average sale price of $7.4822 per share, at prices ranging from $7.47 to $7.5107 per share. Reflects a weighted average purchase price of $7.413 per share, at prices ranging from $7.4062 to $7.5235 per share. Reflects a weighted average sale price of $7.4137 per share, at prices ranging from $7.21 to $7.5235 per share. Reflects a weighted average purchase price of $7.2209 per share, at prices ranging from $7.2 to $7.2375 per share. Reflects a weighted average sale price of $7.2117 per share, at prices ranging from $7.19 to $7.26 per share. Reflects a weighted average purchase price of $7.8494 per share, at prices ranging from $7.2 to $8.19 per share. Reflects a weighted average purchase price of $8.2574 per share, at prices ranging from $8.21 to $8.2645 per share. Reflects a weighted average sale price of $7.2589 per share, at prices ranging from $7.2356 to $7.364 per share. Reflects a weighted average sale price of $8.2582 per share, at prices ranging from $8.2555 to $8.26 per share. Reflects a weighted average purchase price of $7.6956 per share, at prices ranging from $7.67 to $7.9133 per share. Reflects a weighted average sale price of $7.7066 per share, at prices ranging from $7.65 to $7.9133 per share. Reflects a weighted average purchase price of $7.4796 per share, at prices ranging from $7.4526 to $7.61 per share. Reflects a weighted average sale price of $7.4796 per share, at prices ranging from $7.4526 to $7.61 per share. Reflects a weighted average purchase price of $7.4785 per share, at prices ranging from $7.45 to $7.6 per share. Reflects a weighted average sale price of $7.4783 per share, at prices ranging from $7.42 to $7.6 per share. Reflects a weighted average purchase price of $7.3576 per share, at prices ranging from $7.3555 to $7.45 per share. Reflects a weighted average sale price of $7.3576 per share, at prices ranging from $7.3555 to $7.45 per share. Upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided /s/ Yvette Kosic, Attorney-in-fact 2015-04-15-04:00 /s/ Yvette Kosic, Attorney-in-fact 2015-04-15-04:00