0001209191-16-089082.txt : 20160105
0001209191-16-089082.hdr.sgml : 20160105
20160105173020
ACCESSION NUMBER: 0001209191-16-089082
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160101
FILED AS OF DATE: 20160105
DATE AS OF CHANGE: 20160105
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: TIPTREE FINANCIAL INC.
CENTRAL INDEX KEY: 0001393726
STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411]
IRS NUMBER: 383754322
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 780 THIRD AVENUE
STREET 2: 21ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-446-1410
MAIL ADDRESS:
STREET 1: 780 THIRD AVENUE
STREET 2: 21ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER COMPANY:
FORMER CONFORMED NAME: Care Investment Trust Inc.
DATE OF NAME CHANGE: 20070320
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Inayatullah Arif
CENTRAL INDEX KEY: 0001499674
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33549
FILM NUMBER: 161323892
MAIL ADDRESS:
STREET 1: TRICADIA CAPITAL
STREET 2: 780 THIRD AVENUE, 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-01-01
0
0001393726
TIPTREE FINANCIAL INC.
TIPT
0001499674
Inayatullah Arif
C/O TRICADIA HOLDINGS, L.P.
780 THIRD AVE, 29TH FLOOR
NEW YORK
NY
10017
0
0
1
0
Tiptree Financial Partners, L.P. partnership unit warrant
7.54
2016-01-01
4
J
0
46860
A
2014-07-01
2022-06-30
Class A Common Stock
131114
1899100
I
By: TFPLP Holdings I LLC and TFPLP Holdings III LLC
Tiptree Financial Partners, L.P. partnership unit warrant
7.54
2016-01-04
4
J
0
598
A
2014-07-01
2022-06-30
Class A Common Stock
1673
1900773
I
By: TFPLP Holdings I LLC and TFPLP Holdings III LLC
TFPLP 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.
The 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.
/s/ Neil C. Rifkind, Attorney-in-Fact for Arif Inayatullah
2016-01-05