Home > Insider Trading > Filing (0001104659-16-097315)

Filing Details

Accession Number:: 0001104659-16-097315
Form Type:: 5
Zero Holdings:: No
Publication Time:: 2016-02-16 16:02:15
Reporting Period:: 2015-12-31

Filing Date:: 2016-02-16
Accepted Time:: 2016-02-16 16:02:15
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Class A Common Stock	Acquisiton	2014-11-03	2,595,903	$0.00	3,730,665	No	4	J	Direct
Class A Common Stock	Disposition	2015-10-30	3,700	$6.82	3,726,965	No	4	S	Direct
Class A Common Stock	Disposition	2015-11-02	10,314	$6.97	3,716,651	No	4	S	Direct
Class A Common Stock	Disposition	2015-11-03	6,727	$6.88	3,709,924	No	4	S	Direct
Class A Common Stock	Disposition	2015-11-30	8,230	$6.88	3,701,694	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-01	5,908	$6.96	3,695,786	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-02	3,529	$6.90	3,692,257	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-03	4,401	$6.60	3,687,856	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-04	3,805	$6.56	3,684,051	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-07	4,400	$6.55	3,679,651	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-08	4,700	$6.50	3,674,951	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-14	555	$6.51	3,674,396	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-15	2,954	$6.51	3,671,442	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-16	6,625	$6.67	3,664,817	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-17	9,351	$6.62	3,655,466	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-18	7,748	$6.57	3,647,718	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-21	5,814	$6.60	3,641,904	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-22	6,051	$6.55	3,635,853	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-23	786	$6.50	3,635,067	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-24	3,600	$6.55	3,631,467	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-28	4,771	$6.52	3,626,696	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-29	2,053	$6.55	3,624,643	No	4	S	Direct
Class A Common Stock	Disposition	2015-12-30	1,926	$6.50	3,622,717	No	4	S	Direct

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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Common Stock	1,134,762	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.
NSC received shares of Class A Common Stock of the Issuer upon conversion of partnership units of Tiptree Financial Partners, L.P. at a conversion price of $5.3616.