SEC Form 4 · accession 0001628280-17-003522
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
Mar 22, 2017
Accepted (ET)
Apr 10, 2017 · 5:48 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 | Mar 22, 2017 | P | 100 | $6.50 | A | 3,867,270 | D | |
| Class A Common Stock | Apr 10, 2017 | J | 28,347 | $0.00 | A | 3,895,617 | D | |
| Class A Common StockF3 | holding | — | — | — | 109,736 | I | By: Tricadia Holdings, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Purchases pursuant to a Rule 10b5-1 trading plan.
- F2Represents a distribution of shares by Tricadia Holdings, L.P. to limited partners.
- F3The reporting person is a principal of Tricadia Holdings, L.P. ("Tricadia"). 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.