0000769993-15-000531.txt : 20150415 0000769993-15-000531.hdr.sgml : 20150415 20150415175304 ACCESSION NUMBER: 0000769993-15-000531 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141118 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: 15772777 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: 15772778 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 2014-11-18-05:00 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 2014-11-18-05:00 4 P false 357 7.4812 A 5607404 I See footnotes Class A Common Stock 2014-11-18-05:00 4 S false 224 7.47 D 5607180 I See footnotes Class A Common Stock 2014-11-19-05:00 4 P false 179 7.3692 A 5607359 I See footnotes Class A Common Stock 2014-11-19-05:00 4 S false 221 7.3607 D 5607138 I See footnotes Class A Common Stock 2014-11-20-05:00 4 P false 446 7.36 A 5607584 I See footnotes Class A Common Stock 2014-11-20-05:00 4 S false 48 7.3477 D 5607536 I See footnotes Class A Common Stock 2014-11-21-05:00 4 P false 480 7.4394 A 5608016 I See footnotes Class A Common Stock 2014-11-21-05:00 4 S false 895 7.4885 D 5607121 I See footnotes Class A Common Stock 2014-11-24-05:00 4 P false 713 7.4837 A 5607834 I See footnotes Class A Common Stock 2014-11-24-05:00 4 S false 391 7.4702 D 5607443 I See footnotes Class A Common Stock 2014-11-25-05:00 4 P false 585 7.4675 A 5608028 I See footnotes Class A Common Stock 2014-11-25-05:00 4 S false 1183 7.5092 D 5570891 I See footnotes Class A Common Stock 2014-11-26-05:00 4 P false 201 7.4637 A 5607046 I See footnotes Class A Common Stock 2014-11-26-05:00 4 S false 119 7.4042 D 5606927 I See footnotes Class A Common Stock 2014-11-28-05:00 4 P false 1180 7.3001 A 5608107 I See footnotes Class A Common Stock 2014-11-28-05:00 4 S false 2355 7.3001 D 5605752 I See footnotes Class A Common Stock 2014-12-01-05:00 4 P false 1498 7.2701 A 5607250 I See footnotes Class A Common Stock 2014-12-01-05:00 4 S false 1506 7.2807 D 5605744 I See footnotes Class A Common Stock 2014-12-02-05:00 4 P false 378 7.4331 A 5606122 I See footnotes Class A Common Stock 2014-12-02-05:00 4 S false 378 7.4331 D 5605744 I See footnotes Class A Common Stock 2014-12-03-05:00 4 P false 154 7.4257 A 5605898 I See footnotes Class A Common Stock 2014-12-03-05:00 4 S false 155 7.4246 D 5605743 I See footnotes Class A Common Stock 2014-12-04-05:00 4 P false 1600 7.4388 A 5607343 I See footnotes Class A Common Stock 2014-12-04-05:00 4 S false 1934 7.4359 D 5605409 I See footnotes Class A Common Stock 2014-12-05-05:00 4 P false 155 7.7128 A 5605564 I See footnotes Class A Common Stock 2014-12-05-05:00 4 S false 155 7.7128 D 5605409 I See footnotes Class A Common Stock 2014-12-08-05:00 4 P false 994 8.1726 A 5606403 I See footnotes Class A Common Stock 2014-12-08-05:00 4 S false 229 7.5213 D 5606174 I See footnotes Class A Common Stock 2014-12-09-05:00 4 P false 3273 8.2575 A 5609447 I See footnotes Class A Common Stock 2014-12-09-05:00 4 S false 189 8.3074 D 5609651 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 December 9, 2014, Goldman Sachs beneficially owned directly, and GS Group may have been deemed to have beneficially owned indirectly, 13,651 shares of Common Stock, and Goldman Sachs also had open short positions of 64,267 shares of Common Stock, reflecting changes due to exempt transactions. Reflects a weighted average purchase price of $7.4812 per share, at prices ranging from $7.41 to $7.50 per share. Reflects a weighted average sale price of $7.47 per share, at prices ranging from $7.41 to $7.50 per share. Reflects a weighted average purchase price of $7.3692 per share, at prices ranging from $7.25 to $7.46 per share. Reflects a weighted average sale price of $7.3607 per share, at prices ranging from $7.25 to $7.42 per share. Reflects a weighted average purchase price of $7.36 per share, at prices ranging from $7.2544 to $7.41 per share. Reflects a weighted average sale price of $7.3477 per share, at prices ranging from $7.2544 to $7.35 per share. Reflects a weighted average purchase price of $7.4394 per share, at prices ranging from $7.41 to $7.51 per share. Reflects a weighted average sale price of $7.4885 per share, at prices ranging from $7.41 to $7.51 per share. Reflects a weighted average purchase price of $7.4837 per share, at prices ranging from $7.312 to $7.50 per share. Reflects a weighted average sale price of $7.4702 per share, at prices ranging from $7.312 to $7.50 per share. Reflects a weighted average purchase price of $7.4675 per share, at prices ranging from $7.45 to $7.55 per share. Reflects a weighted average sale price of $7.5092 per share, at prices ranging from $7.45 to $7.55 per share. Reflects a weighted average purchase price of $7.4637 per share, at prices ranging from $7.3282 to $7.55 per share. Reflects a weighted average sale price of $7.4042 per share, at prices ranging from $7.3282 to $7.50 per share. Reflects a weighted average purchase price of $7.3001 per share, at prices ranging from $7.30 to $7.325 per share. Reflects a weighted average sale price of $7.3001 per share, at prices ranging from $7.30 to $7.325 per share. Reflects a weighted average purchase price of $7.2701 per share, at prices ranging from $7.27 to $7.435 per share. Reflects a weighted average sale price of $7.2807 per share, at prices ranging from $7.27 to $7.435 per share. Reflects a weighted average purchase price of $7.4331 per share, at prices ranging from $7.425 to $7.53 per share. Reflects a weighted average sale price of $7.4331 per share, at prices ranging from $7.425 to $7.53 per share. Reflects a weighted average purchase price of $7.4257 per share, at prices ranging from $7.39 to $7.445 per share. Reflects a weighted average sale price of $7.4246 per share, at prices ranging from $7.26 to $7.445 per share. Reflects a weighted average purchase price of $7.4388 per share, at prices ranging from $7.42 to $7.44 per share. Reflects a weighted average sale price of $7.4359 per share, at prices ranging from $7.31 to $7.44 per share. Reflects a weighted average purchase price of $7.7128 per share, at prices ranging from $7.3705 to $7.84 per share. Reflects a weighted average sale price of $7.7128 per share, at prices ranging from $7.3705 to $7.84 per share. Reflects a weighted average purchase price of $8.1726 per share, at prices ranging from $7.5708 to $8.50 per share. Reflects a weighted average sale price of $7.5213 per share, at prices ranging from $7.42 to $7.83 per share. Reflects a weighted average purchase price of $8.2575 per share, at prices ranging from $7.92 to $8.4 per share. Reflects a weighted average sale price of $8.3074 per share, at prices ranging from $8.225 to $8.4 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