Statement of Changes in Beneficial Ownership (4)
March 02 2020 - 3:06PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Rifkind Neil Charles |
2. Issuer Name and Ticker or Trading Symbol
TIPTREE INC.
[
TIPT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) General Counsel and Secretary |
(Last)
(First)
(Middle)
C/O TIPTREE INC., 299 PARK AVENUE, 13TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/28/2020 |
(Street)
NEW YORK, NY 10171
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 2/28/2020 | | F(1) | | 7219 | D | $6.58 (2) | 90485 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Represents the total amount of shares withheld upon vesting of (1) the third and final installment of restricted stock units issued to the Reporting Person on February 22, 2017, (2) the second installment of restricted stock units issued to the Reporting Person on February 26, 2018, and (3) the first installment of restricted stock units issued to the Reporting Person on February 26, 2019. |
(2) | Represents the closing stock price as of the transaction date. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rifkind Neil Charles C/O TIPTREE INC. 299 PARK AVENUE, 13TH FLOOR NEW YORK, NY 10171 |
|
| General Counsel and Secretary |
|
Signatures
|
/s/ Neil C. Rifkind | | 3/2/2020 |
**Signature of Reporting Person | Date |
Tiptree (NASDAQ:TIPT)
Historical Stock Chart
From Aug 2024 to Sep 2024
Tiptree (NASDAQ:TIPT)
Historical Stock Chart
From Sep 2023 to Sep 2024