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Home > Insider Trading > Filing (0001104659-16-097317)

Filing Details

Accession Number:: 0001104659-16-097317
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-02-16 16:04:28
Reporting Period:: 2016-01-14

Filing Date:: 2016-02-16
Accepted Time:: 2016-02-16 16:04:28
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1393726	Tiptree Financial Inc.	TIPT	Insurance Agents, Brokers & Service (6411)	383754322

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
110097	Nomura Securities Co Ltd	1-9-1 Nihonbashi Chuo-Ku Tokyo M0 103-8011		No	No	Yes	No
1163653	Nomura Holdings Inc	1-9-1 Nihonbashi Chuo-Ku Tokyo M0 103-8645		No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Disposition	2016-01-14	3,342	$5.84	3,619,375	No	4	S	Direct
Class A Common Stock	Disposition	2016-01-15	100	$5.80	3,619,275	No	4	S	Direct
Class A Common Stock	Disposition	2016-01-19	600	$5.81	3,618,675	No	4	S	Direct
Class A Common Stock	Disposition	2016-01-21	8,005	$5.90	3,610,670	No	4	S	Direct
Class A Common Stock	Disposition	2016-01-22	9,372	$5.95	3,601,298	No	4	S	Direct
Class A Common Stock	Disposition	2016-01-25	6,930	$5.96	3,594,368	No	4	S	Direct
Class A Common Stock	Disposition	2016-01-26	6,437	$6.14	3,587,931	No	4	S	Direct
Class A Common Stock	Disposition	2016-01-27	7,811	$5.99	3,580,120	No	4	S	Direct
Class A Common Stock	Disposition	2016-01-28	6,600	$5.92	3,573,520	No	4	S	Direct
Class A Common Stock	Disposition	2016-01-29	16,706	$6.18	3,556,814	No	4	S	Direct
Class A Common Stock	Disposition	2016-02-01	6,518	$6.48	3,550,296	No	4	S	Direct
Class A Common Stock	Disposition	2016-02-02	4,700	$6.19	3,545,596	No	4	S	Direct
Class A Common Stock	Disposition	2016-02-03	6,096	$6.00	3,539,500	No	4	S	Direct
Class A Common Stock	Disposition	2016-02-04	3,700	$6.11	3,535,800	No	4	S	Direct
Class A Common Stock	Disposition	2016-02-05	2,700	$5.88	3,533,100	No	4	S	Direct
Class A Common Stock	Disposition	2016-02-08	200	$5.81	3,532,900	No	4	S	Direct
Class A Common Stock	Disposition	2016-02-09	352	$5.82	3,532,548	No	4	S	Direct
Class A Common Stock	Disposition	2016-02-10	2,342	$5.93	3,530,206	No	4	S	Direct
Class A Common Stock	Disposition	2016-02-11	3,200	$5.87	3,527,006	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Footnotes

These 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.