SEC Form 4 · accession 0001104659-16-097317
TIPTREE INC. · TIPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jan 14, 2016
Accepted (ET)
Feb 16, 2016 · 4:04 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Jan 14, 2016 | S | 3,342 | $5.8352 | D | 3,619,375 | D | |
| Class A Common StockF1 | Jan 15, 2016 | S | 100 | $5.80 | D | 3,619,275 | D | |
| Class A Common StockF1 | Jan 19, 2016 | S | 600 | $5.8133 | D | 3,618,675 | D | |
| Class A Common StockF1 | Jan 21, 2016 | S | 8,005 | $5.8987 | D | 3,610,670 | D | |
| Class A Common StockF1 | Jan 22, 2016 | S | 9,372 | $5.9505 | D | 3,601,298 | D | |
| Class A Common StockF1 | Jan 25, 2016 | S | 6,930 | $5.9624 | D | 3,594,368 | D | |
| Class A Common StockF1 | Jan 26, 2016 | S | 6,437 | $6.1408 | D | 3,587,931 | D | |
| Class A Common StockF1 | Jan 27, 2016 | S | 7,811 | $5.9861 | D | 3,580,120 | D | |
| Class A Common StockF1 | Jan 28, 2016 | S | 6,600 | $5.9216 | D | 3,573,520 | D | |
| Class A Common StockF1 | Jan 29, 2016 | S | 16,706 | $6.1818 | D | 3,556,814 | D | |
| Class A Common StockF1 | Feb 1, 2016 | S | 6,518 | $6.4757 | D | 3,550,296 | D | |
| Class A Common StockF1 | Feb 2, 2016 | S | 4,700 | $6.1949 | D | 3,545,596 | D | |
| Class A Common StockF1 | Feb 3, 2016 | S | 6,096 | $6.004 | D | 3,539,500 | D | |
| Class A Common StockF1 | Feb 4, 2016 | S | 3,700 | $6.113 | D | 3,535,800 | D | |
| Class A Common StockF1 | Feb 5, 2016 | S | 2,700 | $5.8817 | D | 3,533,100 | D | |
| Class A Common StockF1 | Feb 8, 2016 | S | 200 | $5.805 | D | 3,532,900 | D | |
| Class A Common StockF1 | Feb 9, 2016 | S | 352 | $5.8215 | D | 3,532,548 | D | |
| Class A Common StockF1 | Feb 10, 2016 | S | 2,342 | $5.9287 | D | 3,530,206 | D | |
| Class A Common StockF1 | Feb 11, 2016 | S | 3,200 | $5.8661 | D | 3,527,006 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- 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.