SEC Form 4 · accession 0001209191-15-032661
TIPTREE INC. · TIPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Gene Barnes
Officer — Executive Chairman · Director · 10% Owner
Period of report
Apr 2, 2015
Accepted (ET)
Apr 6, 2015 · 3:25 pm EDT
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 Stock | Apr 2, 2015 | P | 1,614 | $7.00 | A | 1,138,899 | D | |
| Class A Common Stock | Apr 2, 2015 | P | 350 | $6.97 | A | 1,139,249 | D | |
| Class A Common Stock | Apr 3, 2015 | J | 10,441 | $0.00 | A | 1,149,690 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Purchases pursuant to a Rule 10b5-1 trading plan.
- F2The reporting person is a partner in Tricadia Holdings, L.P. ("Tricadia") and received these shares from Tricadia in a pro rata distribution in accordance with the reporting person's partnership interests in such entity. Tricadia received these shares as incentive compensation approved by the Issuer's Compensation, Nominating and Governance Committee for Michael Barnes' services as Executive Chairman of the Issuer under a Transition Services Agreement between Tricadia and the Issuer.