SEC Form 4 · accession 0001628280-18-000185
TIPTREE INC. · TIPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley E. Smith
Director
Period of report
Jan 4, 2018
Accepted (ET)
Jan 5, 2018 · 3:26 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 4, 2018 | A | 3,048 | $0.00 | A | 36,316 | D | |
| Class A Common StockF2 | holding | — | — | — | 63,738 | I | By: Kahala Capital Advisors LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the stock component of the director's annual retainer fee, which is paid quarterly in arrears.
- F2The reporting person is a principal of Kahala Capital Advisors 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.