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