SEC Form 4 · accession 0001209191-16-089113

TIPTREE INC. · TIPT

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

Reporting owner

Officer — Executive Chairman · Director · 10% Owner

Period of report

Jan 1, 2016

Accepted (ET)

Jan 5, 2016 · 5:35 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001393726

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Tiptree Financial Partners, L.P. partnership unit warrant^F1,F2	$7.54	Jan 1, 2016	J	46,860	A	Jul 1, 2014	Jun 30, 2022	Class A Common Stock	131,114	1,899,100	I
Tiptree Financial Partners, L.P. partnership unit warrant^F1,F2	$7.54	Jan 4, 2016	J	598	A	Jul 1, 2014	Jun 30, 2022	Class A Common Stock	1,673	1,900,773	I

F1TFPLP Holdings I LLC and TFPLP Holdings III LLC hold warrants to purchase partnership units (the "Partnership Units") of Tiptree Financial Partners, L.P. ("TFP"). Pursuant to the terms of the warrants, TFP's issuance of additional Partnership Units triggered the anti-dilutive mechanisms adjusting the amount and exercise price of the warrants.
F2The reporting person is a principal of Tricadia Holdings, L.P. which is the managing member of TFPLP Holdings I LLC and TFPLP Holdings III LLC. The number of shares reflects a total which is greater than the reporting person's pecuniary interest. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest.