SEC Form 5 · accession 0001104659-16-097315

TIPTREE INC. · TIPT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

Period of report

Dec 31, 2015

Accepted (ET)

Feb 16, 2016 · 4:02 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001393726

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Class A Common Stock^F2,F1	Nov 3, 2014	J	2,595,903	—	A	3,730,665	D
Class A Common Stock^F1	Oct 30, 2015	S	3,700	$6.82	D	3,726,965	D
Class A Common Stock^F1	Nov 2, 2015	S	10,314	$6.9694	D	3,716,651	D
Class A Common Stock^F1	Nov 3, 2015	S	6,727	$6.8754	D	3,709,924	D
Class A Common Stock^F1	Nov 30, 2015	S	8,230	$6.8773	D	3,701,694	D
Class A Common Stock^F1	Dec 1, 2015	S	5,908	$6.9552	D	3,695,786	D
Class A Common Stock^F1	Dec 2, 2015	S	3,529	$6.9034	D	3,692,257	D
Class A Common Stock^F1	Dec 3, 2015	S	4,401	$6.5994	D	3,687,856	D
Class A Common Stock^F1	Dec 4, 2015	S	3,805	$6.5625	D	3,684,051	D
Class A Common Stock^F1	Dec 7, 2015	S	4,400	$6.5514	D	3,679,651	D
Class A Common Stock^F1	Dec 8, 2015	S	4,700	$6.50	D	3,674,951	D
Class A Common Stock^F1	Dec 14, 2015	S	555	$6.5072	D	3,674,396	D
Class A Common Stock^F1	Dec 15, 2015	S	2,954	$6.5078	D	3,671,442	D
Class A Common Stock^F1	Dec 16, 2015	S	6,625	$6.671	D	3,664,817	D
Class A Common Stock^F1	Dec 17, 2015	S	9,351	$6.6182	D	3,655,466	D
Class A Common Stock^F1	Dec 18, 2015	S	7,748	$6.5732	D	3,647,718	D
Class A Common Stock^F1	Dec 21, 2015	S	5,814	$6.6038	D	3,641,904	D
Class A Common Stock^F1	Dec 22, 2015	S	6,051	$6.5497	D	3,635,853	D
Class A Common Stock^F1	Dec 23, 2015	S	786	$6.5025	D	3,635,067	D
Class A Common Stock^F1	Dec 24, 2015	S	3,600	$6.5464	D	3,631,467	D
Class A Common Stock^F1	Dec 28, 2015	S	4,771	$6.516	D	3,626,696	D
Class A Common Stock^F1	Dec 29, 2015	S	2,053	$6.5512	D	3,624,643	D
Class A Common Stock^F1	Dec 30, 2015	S	1,926	$6.5043	D	3,622,717	D
Class A Common Stock^F1	holding	—	—		—	1,134,762	D

No Table II lines on this filing.

F1These 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.
F2NSC received shares of Class A Common Stock of the Issuer upon conversion of partnership units of Tiptree Financial Partners, L.P. at a conversion price of $5.3616.