Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TIPTREE INC.TIPT · Entity 5239 | 10% owner | February 07, 2023 | February 09, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
TIPTREE INC.
Report date February 07, 2023 · Filed February 09, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,592,419 |
Ending reported balance
After 2023-02-07 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2023-02-07 · Exercise / conversion · Acquired 26,166 · Balance 3,563,578 F1: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 26,166 shares of common stock, pursuant to which 9,343 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $5.67 per share, resulting in 16,823 shares of common stock being issued to the Reporting Person on a net basis. Row 2 · 2023-02-07 · Tax withholding · Disposed 9,343 · Balance 3,554,235 F1: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 26,166 shares of common stock, pursuant to which 9,343 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $5.67 per share, resulting in 16,823 shares of common stock being issued to the Reporting Person on a net basis. Row 3 · 2023-02-07 · Exercise / conversion · Acquired 2,616 · Balance 3,556,851 F2: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 2,616 shares of common stock, pursuant to which 967 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $5.87 per share, resulting in 1,649 shares of common stock being issued to the Reporting Person on a net basis. Row 4 · 2023-02-07 · Tax withholding · Disposed 967 · Balance 3,555,884 F2: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 2,616 shares of common stock, pursuant to which 967 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $5.87 per share, resulting in 1,649 shares of common stock being issued to the Reporting Person on a net basis. Row 5 · 2023-02-07 · Exercise / conversion · Acquired 62,859 · Balance 3,618,743 F3: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 62,859 shares of common stock, pursuant to which 26,324 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $6.65 per share, resulting in 36,535 shares of common stock being issued to the Reporting Person on a net basis. Row 6 · 2023-02-07 · Tax withholding · Disposed 26,324 · Balance 3,592,419 F3: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 62,859 shares of common stock, pursuant to which 26,324 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $6.65 per share, resulting in 36,535 shares of common stock being issued to the Reporting Person on a net basis. |
| January 2016 Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $5.67 | Direct | 0 |
Reported balance
After 2023-02-07 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-02-07 · Exercise / conversion · Disposed 26,166 · Balance 0 F4: Exercise of these stock options is from the grant date. F5: The Stock Option will expire on the earlier of (1) January 4, 2026 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant. |
| March 2016 Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $5.87 | Direct | 0 |
Reported balance
After 2023-02-07 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2023-02-07 · Exercise / conversion · Disposed 2,616 · Balance 0 F4: Exercise of these stock options is from the grant date. F6: The Stock Option will expire on the earlier of (1) March 10, 2026 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant. |
| February 2017 Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $6.65 | Direct | 0 |
Reported balance
After 2023-02-07 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2023-02-07 · Exercise / conversion · Disposed 62,859 · Balance 0 F4: Exercise of these stock options is from the grant date. F7: The Stock Option will expire on the earlier of (1) February 22, 2027 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 26,166 shares of common stock, pursuant to which 9,343 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $5.67 per share, resulting in 16,823 shares of common stock being issued to the Reporting Person on a net basis.
F2: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 2,616 shares of common stock, pursuant to which 967 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $5.87 per share, resulting in 1,649 shares of common stock being issued to the Reporting Person on a net basis.
F3: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 62,859 shares of common stock, pursuant to which 26,324 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $6.65 per share, resulting in 36,535 shares of common stock being issued to the Reporting Person on a net basis.
F4: Exercise of these stock options is from the grant date.
F5: The Stock Option will expire on the earlier of (1) January 4, 2026 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant.
F6: The Stock Option will expire on the earlier of (1) March 10, 2026 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant.
F7: The Stock Option will expire on the earlier of (1) February 22, 2027 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 07, 2023 Filed Feb 9, 2023 14:03 UTC | TIPTREE INC. TIPT · Entity 5239 | Exercise / conversionFebruary 2017 Stock Option · Derivative | 62,859 | $0.00 Strike: $6.65 | $0.00 |
DisclosureSEC source: 0001393726-23-000012 · wf-form4_167596941774008.xml · derivative · entry 9 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 62,859 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Exercise of these stock options is from the grant date. F7 · derivative.expiration_date: The Stock Option will expire on the earlier of (1) February 22, 2027 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 14:03 UTC | TIPTREE INC. TIPT · Entity 5239 | Exercise / conversionMarch 2016 Stock Option · Derivative | 2,616 | $0.00 Strike: $5.87 | $0.00 |
DisclosureSEC source: 0001393726-23-000012 · wf-form4_167596941774008.xml · derivative · entry 8 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,616 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Exercise of these stock options is from the grant date. F6 · derivative.expiration_date: The Stock Option will expire on the earlier of (1) March 10, 2026 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 14:03 UTC | TIPTREE INC. TIPT · Entity 5239 | Exercise / conversionJanuary 2016 Stock Option · Derivative | 26,166 | $0.00 Strike: $5.67 | $0.00 |
DisclosureSEC source: 0001393726-23-000012 · wf-form4_167596941774008.xml · derivative · entry 7 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,166 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Exercise of these stock options is from the grant date. F5 · derivative.expiration_date: The Stock Option will expire on the earlier of (1) January 4, 2026 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 14:03 UTC | TIPTREE INC. TIPT · Entity 5239 | Tax withholdingCommon Stock | 26,324 | $15.88 | $418,025.12 |
DisclosureSEC source: 0001393726-23-000012 · wf-form4_167596941774008.xml · nonDerivative · entry 6 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,592,419 F3 · shares: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 62,859 shares of common stock, pursuant to which 26,324 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $6.65 per share, resulting in 36,535 shares of common stock being issued to the Reporting Person on a net basis. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 14:03 UTC | TIPTREE INC. TIPT · Entity 5239 | Exercise / conversionCommon Stock | 62,859 | $6.65 | $418,012.35 |
DisclosureSEC source: 0001393726-23-000012 · wf-form4_167596941774008.xml · nonDerivative · entry 5 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,618,743 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · shares: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 62,859 shares of common stock, pursuant to which 26,324 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $6.65 per share, resulting in 36,535 shares of common stock being issued to the Reporting Person on a net basis. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 14:03 UTC | TIPTREE INC. TIPT · Entity 5239 | Tax withholdingCommon Stock | 967 | $15.88 | $15,355.96 |
DisclosureSEC source: 0001393726-23-000012 · wf-form4_167596941774008.xml · nonDerivative · entry 4 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,555,884 F2 · shares: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 2,616 shares of common stock, pursuant to which 967 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $5.87 per share, resulting in 1,649 shares of common stock being issued to the Reporting Person on a net basis. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 14:03 UTC | TIPTREE INC. TIPT · Entity 5239 | Exercise / conversionCommon Stock | 2,616 | $5.87 | $15,355.92 |
DisclosureSEC source: 0001393726-23-000012 · wf-form4_167596941774008.xml · nonDerivative · entry 3 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,556,851 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 2,616 shares of common stock, pursuant to which 967 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $5.87 per share, resulting in 1,649 shares of common stock being issued to the Reporting Person on a net basis. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 14:03 UTC | TIPTREE INC. TIPT · Entity 5239 | Tax withholdingCommon Stock | 9,343 | $15.88 | $148,366.84 |
DisclosureSEC source: 0001393726-23-000012 · wf-form4_167596941774008.xml · nonDerivative · entry 2 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,554,235 F1 · shares: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 26,166 shares of common stock, pursuant to which 9,343 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $5.67 per share, resulting in 16,823 shares of common stock being issued to the Reporting Person on a net basis. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 14:03 UTC | TIPTREE INC. TIPT · Entity 5239 | Exercise / conversionCommon Stock | 26,166 | $5.67 | $148,361.22 |
DisclosureSEC source: 0001393726-23-000012 · wf-form4_167596941774008.xml · nonDerivative · entry 1 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,563,578 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Reflects the shares of the Issuer's common stock acquired by the Reporting Person through the cashless exercise of an option to acquire 26,166 shares of common stock, pursuant to which 9,343 shares were withheld by the Issuer at the closing stock price of $15.88 per share, on the date of exercise, to pay the exercise price of $5.67 per share, resulting in 16,823 shares of common stock being issued to the Reporting Person on a net basis. Read SEC document |
| September 01, 2022 Filed Sep 1, 2022 14:50 UTC | TIPTREE INC. TIPT · Entity 5239 | GrantFebruary 2017 Stock Option · Derivative | 62,859 | $0.00 Strike: $6.65 | $0.00 |
DisclosureSEC source: 0001393726-22-000078 · wf-form4_166205824581595.xml · derivative · entry 4 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,859 Underlying: Common Stock · 62,859 shares Expires not disclosed F6 · security: The reporting person is a partner in Corvid Peak Holdings, L.P. ("Corvid Peak") and received these stock options from Corvid Peak in a pro rata distribution in accordance with the reporting person's partnership interests in such entity. Corvid Peak received these stock options on February 22, 2017 as incentive compensation approved by the Issuer's Compensation, Nominating and Governance Committee for Michael Barnes's services as Executive Chairman of the Issuer under a Transition Services Agreement between Corvid Peak and the Issuer. F2 · derivative.exercise_date: Exercise of these stock options is from the grant date. F7 · derivative.expiration_date: The Stock Option will expire on the earlier of (1) February 22, 2027 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant. Read SEC document |
| September 01, 2022 Filed Sep 1, 2022 14:50 UTC | TIPTREE INC. TIPT · Entity 5239 | GrantMarch 2016 Stock Option · Derivative | 2,616 | $0.00 Strike: $5.87 | $0.00 |
DisclosureSEC source: 0001393726-22-000078 · wf-form4_166205824581595.xml · derivative · entry 3 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,616 Underlying: Common Stock · 2,616 shares Expires not disclosed F4 · security: The reporting person is a partner in Corvid Peak Holdings, L.P. ("Corvid Peak") and received these stock options from Corvid Peak in a pro rata distribution in accordance with the reporting person's partnership interests in such entity. Corvid Peak received these stock options on March 10, 2016 as incentive compensation approved by the Issuer's Compensation, Nominating and Governance Committee for Michael Barnes's services as Executive Chairman of the Issuer under a Transition Services Agreement between Corvid Peak and the Issuer. F2 · derivative.exercise_date: Exercise of these stock options is from the grant date. F5 · derivative.expiration_date: The Stock Option will expire on the earlier of (1) March 10, 2026 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant. Read SEC document |
| September 01, 2022 Filed Sep 1, 2022 14:50 UTC | TIPTREE INC. TIPT · Entity 5239 | GrantJanuary 2016 Stock Option · Derivative | 26,166 | $0.00 Strike: $5.67 | $0.00 |
DisclosureSEC source: 0001393726-22-000078 · wf-form4_166205824581595.xml · derivative · entry 2 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,166 Underlying: Common Stock · 26,166 shares Expires not disclosed F1 · security: The reporting person is a partner in Corvid Peak Holdings, L.P. ("Corvid Peak") and received these stock options from Corvid Peak in a pro rata distribution in accordance with the reporting person's partnership interests in such entity. Corvid Peak received these stock options on January 4, 2016 as incentive compensation approved by the Issuer's Compensation, Nominating and Governance Committee for Michael Barnes's services as Executive Chairman of the Issuer under a Transition Services Agreement between Corvid Peak and the Issuer. F2 · derivative.exercise_date: Exercise of these stock options is from the grant date. F3 · derivative.expiration_date: The Stock Option will expire on the earlier of (1) January 4, 2026 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant. Read SEC document |
| June 27, 2022 Filed Jun 28, 2022 09:45 UTC | TIPTREE INC. TIPT · Entity 5239 | Exercise / conversionTiptree Inc. warrant 2022 · Derivative | 440,318 | $0.00 Strike: $6.93 | $0.00 |
DisclosureSEC source: 0001393726-22-000054 · wf-form4_165642393352141.xml · derivative · entry 2 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 440,318 shares Expires 2022-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: On June 27, 2022, the Reporting Person exercised the 2022 Warrants at the adjusted exercise price of $6.927. Tiptree received cash proceeds of $3,050,082.79 from the exercise of the 2022 Warrants. Read SEC document |
| June 27, 2022 Filed Jun 28, 2022 09:45 UTC | TIPTREE INC. TIPT · Entity 5239 | Exercise / conversionCommon Stock | 440,318 | $6.93 | $3,050,082.79 |
DisclosureSEC source: 0001393726-22-000054 · wf-form4_165642393352141.xml · nonDerivative · entry 1 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,537,412 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: On June 27, 2022, the Reporting Person exercised the 2022 Warrants at the adjusted exercise price of $6.927. Tiptree received cash proceeds of $3,050,082.79 from the exercise of the 2022 Warrants. Read SEC document |
| March 17, 2021 Filed Mar 18, 2021 16:09 UTC | TIPTREE INC. TIPT · Entity 5239 | PurchaseCommon Stock | 36,685 | $8.87 | $325,506.01 |
DisclosureSEC source: 0001393726-21-000026 · wf-form4_161609817101751.xml · nonDerivative · entry 2 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,097,094 F2 · price: This purchase was executed in multiple purchases at prices ranging from $8.73 to $9.10, inclusive. The price reported above reflects the weighted average price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 17, 2021 Filed Mar 18, 2021 16:09 UTC | TIPTREE INC. TIPT · Entity 5239 | PurchaseCommon Stock | 48,315 | $7.68 | $370,914.26 |
DisclosureSEC source: 0001393726-21-000026 · wf-form4_161609817101751.xml · nonDerivative · entry 1 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,060,409 F1 · price: This purchase was executed in multiple purchases at prices ranging from $7.64 to $7.71, inclusive. The price reported above reflects the weighted average price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 11:46 UTC | TIPTREE INC. TIPT · Entity 5239 | PurchaseCommon Stock | 900 | $7.87 | $7,083.00 |
DisclosureSEC source: 0001393726-21-000024 · wf-form4_161599597176749.xml · nonDerivative · entry 2 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,012,094 Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 11:46 UTC | TIPTREE INC. TIPT · Entity 5239 | PurchaseCommon Stock | 39,100 | $7.32 | $286,133.80 |
DisclosureSEC source: 0001393726-21-000024 · wf-form4_161599597176749.xml · nonDerivative · entry 1 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,011,194 F1 · price: This purchase was executed in multiple purchases at prices ranging from $6.75 to $7.68, inclusive. The price reported above reflects the weighted average price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 15:59 UTC | TIPTREE INC. TIPT · Entity 5239 | OtherTiptree Inc. warrant 2022 · Derivative | 401,854 | Not disclosed Strike: $7.59 | Not disclosed |
DisclosureSEC source: 0001628280-18-004210 · wf-form4_152356315557389.xml · derivative · entry 5 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 401,854 Underlying: Class A Common Stock · 401,854 shares Expires 2022-06-30 F1 · kind: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Inayatullah. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Inayatullah received (i) 1,724,556 Tiptree Shares for his 616,353 LP Units; (ii) the 2018 Warrant exercisable to acquire 26,137 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 401,854 Tiptree Shares. F1 · price: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Inayatullah. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Inayatullah received (i) 1,724,556 Tiptree Shares for his 616,353 LP Units; (ii) the 2018 Warrant exercisable to acquire 26,137 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 401,854 Tiptree Shares. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 15:59 UTC | TIPTREE INC. TIPT · Entity 5239 | OtherTiptree Inc. warrant 2018 · Derivative | 26,137 | Not disclosed Strike: $11.33 | Not disclosed |
DisclosureSEC source: 0001628280-18-004210 · wf-form4_152356315557389.xml · derivative · entry 4 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,137 Underlying: Class A Common Stock · 26,137 shares Expires 2018-09-30 F3 · kind: In connection with the Reorganization Merger, the original warrant, expiring on September 30, 2018, held by TFP to acquire up to 652,500 Tiptree Shares at an exercise price of $11.33 per share was canceled and converted into the right to receive a pro-rata portion of the 2018 Warrant. Mr. Inayatullah may acquire 26,137 Tiptree Shares pursuant to the terms of the 2018 Warrant. F1 · price: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Inayatullah. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Inayatullah received (i) 1,724,556 Tiptree Shares for his 616,353 LP Units; (ii) the 2018 Warrant exercisable to acquire 26,137 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 401,854 Tiptree Shares. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 15:59 UTC | TIPTREE INC. TIPT · Entity 5239 | OtherTiptree Financial Partners, L.P. partnership unit warrant · Derivative | 143,662 | Not disclosed Strike: $7.59 | Not disclosed |
DisclosureSEC source: 0001628280-18-004210 · wf-form4_152356315557389.xml · derivative · entry 3 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 401,854 shares Expires 2022-06-30 F1 · kind: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Inayatullah. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Inayatullah received (i) 1,724,556 Tiptree Shares for his 616,353 LP Units; (ii) the 2018 Warrant exercisable to acquire 26,137 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 401,854 Tiptree Shares. F1 · price: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Inayatullah. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Inayatullah received (i) 1,724,556 Tiptree Shares for his 616,353 LP Units; (ii) the 2018 Warrant exercisable to acquire 26,137 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 401,854 Tiptree Shares. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 15:59 UTC | TIPTREE INC. TIPT · Entity 5239 | OtherTiptree Financial Partners, L.P. partnership unit · Derivative | 616,353 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-18-004210 · wf-form4_152356315557389.xml · derivative · entry 2 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 1,724,556 shares Expires not disclosed F2 · derivative.exercise_price: From and after July 1, 2014, the limited partners of TFP have the ability to exchange TFP partnership units for Tiptree Class A common stock at a rate of 2.798 shares of Class A common stock per partnership unit. F1 · kind: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Inayatullah. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Inayatullah received (i) 1,724,556 Tiptree Shares for his 616,353 LP Units; (ii) the 2018 Warrant exercisable to acquire 26,137 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 401,854 Tiptree Shares. F1 · price: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Inayatullah. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Inayatullah received (i) 1,724,556 Tiptree Shares for his 616,353 LP Units; (ii) the 2018 Warrant exercisable to acquire 26,137 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 401,854 Tiptree Shares. F2 · derivative.expiration_date: From and after July 1, 2014, the limited partners of TFP have the ability to exchange TFP partnership units for Tiptree Class A common stock at a rate of 2.798 shares of Class A common stock per partnership unit. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 15:59 UTC | TIPTREE INC. TIPT · Entity 5239 | OtherClass A Common Stock | 1,724,556 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-18-004210 · wf-form4_152356315557389.xml · nonDerivative · entry 1 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,940,662 F1 · kind: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Inayatullah. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Inayatullah received (i) 1,724,556 Tiptree Shares for his 616,353 LP Units; (ii) the 2018 Warrant exercisable to acquire 26,137 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 401,854 Tiptree Shares. F1 · shares: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Inayatullah. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Inayatullah received (i) 1,724,556 Tiptree Shares for his 616,353 LP Units; (ii) the 2018 Warrant exercisable to acquire 26,137 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 401,854 Tiptree Shares. F1 · price: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Inayatullah. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Inayatullah received (i) 1,724,556 Tiptree Shares for his 616,353 LP Units; (ii) the 2018 Warrant exercisable to acquire 26,137 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 401,854 Tiptree Shares. Read SEC document |
| December 18, 2017 Filed Dec 20, 2017 16:30 UTC | TIPTREE INC. TIPT · Entity 5239 | OtherTiptree Financial Partners, L.P. partnership unit warrant · Derivative | 143,622 | Not disclosed Strike: $7.59 | Not disclosed |
DisclosureSEC source: 0001628280-17-012467 · wf-form4_151380541205103.xml · derivative · entry 2 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 401,854 Underlying: Class A Common Stock · 401,854 shares Expires 2022-06-30 F2 · kind: The Reporting Person was a member of TFPLP Holdings I LLC and received securities upon the distribution of all of TFPLP Holdings I LLC's assets to its members. F2 · price: The Reporting Person was a member of TFPLP Holdings I LLC and received securities upon the distribution of all of TFPLP Holdings I LLC's assets to its members. Read SEC document |
| December 18, 2017 Filed Dec 20, 2017 16:30 UTC | TIPTREE INC. TIPT · Entity 5239 | OtherTiptree Financial Partners, L.P. partnership unit · Derivative | 395,733 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-17-012467 · wf-form4_151380541205103.xml · derivative · entry 1 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,724,556 Underlying: Class A Common Stock · 1,107,261 shares Expires not disclosed F1 · derivative.exercise_price: From and after July 1, 2014, the limited partners of Tiptree Financial Partners, L.P. ("TFP") have the ability to exchange TFP partnership units for Tiptree Class A common stock at a rate of 2.798 shares of Class A common stock per partnership unit. F2 · kind: The Reporting Person was a member of TFPLP Holdings I LLC and received securities upon the distribution of all of TFPLP Holdings I LLC's assets to its members. F2 · price: The Reporting Person was a member of TFPLP Holdings I LLC and received securities upon the distribution of all of TFPLP Holdings I LLC's assets to its members. F1 · derivative.expiration_date: From and after July 1, 2014, the limited partners of Tiptree Financial Partners, L.P. ("TFP") have the ability to exchange TFP partnership units for Tiptree Class A common stock at a rate of 2.798 shares of Class A common stock per partnership unit. Read SEC document |
| November 21, 2017 Filed Jan 12, 2018 14:02 UTC | TIPTREE INC. TIPT · Entity 5239 | PurchaseClass A Common Stock | 20,643 | $7.15 | $147,597.45 |
DisclosureSEC source: 0001628280-18-000307 · wf-form4_151578372477613.xml · nonDerivative · entry 5 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,216,106 F1 · date: This transaction is inadvertently late due to administrative oversight F2 · balance_after: This amount reflects the number of shares beneficially owned by the Reporting Person as of the date of this Form 4 Read SEC document |
| November 21, 2017 Filed Jan 12, 2018 14:02 UTC | TIPTREE INC. TIPT · Entity 5239 | PurchaseClass A Common Stock | 16,700 | $7.05 | $117,735.00 |
DisclosureSEC source: 0001628280-18-000307 · wf-form4_151578372477613.xml · nonDerivative · entry 4 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,195,463 F1 · date: This transaction is inadvertently late due to administrative oversight F2 · balance_after: This amount reflects the number of shares beneficially owned by the Reporting Person as of the date of this Form 4 Read SEC document |
| November 21, 2017 Filed Jan 12, 2018 14:02 UTC | TIPTREE INC. TIPT · Entity 5239 | PurchaseClass A Common Stock | 200 | $7.03 | $1,406.00 |
DisclosureSEC source: 0001628280-18-000307 · wf-form4_151578372477613.xml · nonDerivative · entry 3 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,178,763 F1 · date: This transaction is inadvertently late due to administrative oversight F2 · balance_after: This amount reflects the number of shares beneficially owned by the Reporting Person as of the date of this Form 4 Read SEC document |
| November 21, 2017 Filed Jan 12, 2018 14:02 UTC | TIPTREE INC. TIPT · Entity 5239 | PurchaseClass A Common Stock | 32,357 | $7.00 | $226,499.00 |
DisclosureSEC source: 0001628280-18-000307 · wf-form4_151578372477613.xml · nonDerivative · entry 2 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,178,563 F1 · date: This transaction is inadvertently late due to administrative oversight F2 · balance_after: This amount reflects the number of shares beneficially owned by the Reporting Person as of the date of this Form 4 Read SEC document |
| November 21, 2017 Filed Jan 12, 2018 14:02 UTC | TIPTREE INC. TIPT · Entity 5239 | PurchaseClass A Common Stock | 100 | $6.95 | $695.00 |
DisclosureSEC source: 0001628280-18-000307 · wf-form4_151578372477613.xml · nonDerivative · entry 1 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,146,206 F1 · date: This transaction is inadvertently late due to administrative oversight F2 · balance_after: This amount reflects the number of shares beneficially owned by the Reporting Person as of the date of this Form 4 Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 15:37 UTC | TIPTREE INC. TIPT · Entity 5239 | OtherClass A Common Stock | 506,013 | $5.36 | $2,712,229.68 |
DisclosureSEC source: 0001628280-17-006273 · wf-form4_149686425903953.xml · nonDerivative · entry 1 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,146,106 F1 · kind: Represents Class A common stock acquired by the reporting person upon the distribution of Class A common stock from the exercise of partnership unit options of Tricadia Capital Management LLC, in which the reporting person is a limited partner. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 15:37 UTC | TIPTREE INC. TIPT · Entity 5239 | OtherTiptree Financial Partners, L.P. partnership unit option · Derivative | 1,510,920 | $5.36 Strike: $5.36 | $8,098,531.20 |
DisclosureSEC source: 0001628280-17-006273 · wf-form4_149686425903953.xml · derivative · entry 2 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By: Tricadia Capital Management, LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 1,510,920 shares Expires 2017-06-12 F2 · kind: On June 5, 2017, Tricadia Capital Management, LLC exercised its option to acquire 1,510,920 shares of the issuer's Class A common stock and subsequently distributed such shares to its limited partners. The reporting person is a principal of Tricadia Holdings, L.P., which owns 100% of Tricadia Capital Management, LLC. F2 · ownership.direct: On June 5, 2017, Tricadia Capital Management, LLC exercised its option to acquire 1,510,920 shares of the issuer's Class A common stock and subsequently distributed such shares to its limited partners. The reporting person is a principal of Tricadia Holdings, L.P., which owns 100% of Tricadia Capital Management, LLC. Read SEC document |
| April 11, 2017 Filed Apr 12, 2017 16:03 UTC | TIPTREE INC. TIPT · Entity 5239 | OtherClass A Common Stock | 8,989 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-17-003556 · wf-form4_149202742293097.xml · nonDerivative · entry 1 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 640,093 F1 · kind: Represents a distribution of shares by TFPLP Holdings I LLC to its members F1 · price: Represents a distribution of shares by TFPLP Holdings I LLC to its members Read SEC document |
| April 10, 2017 Filed Apr 10, 2017 17:48 UTC | TIPTREE INC. TIPT · Entity 5239 | OtherClass A Common Stock | 16,073 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-17-003523 · wf-form4_149186092359615.xml · nonDerivative · entry 1 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 631,104 F1 · kind: Represents a distribution of shares by Tricadia Holdings, L.P. to limited partners. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 15:31 UTC | TIPTREE INC. TIPT · Entity 5239 | GrantEmployee Stock Option · Derivative | 219,472 | $0.00 Strike: $6.65 | $0.00 |
DisclosureSEC source: 0001209191-17-016466 · doc4.xml · derivative · entry 3 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By: Tricadia Holdings, L.P. Disclosed balance after: 319,967 Underlying: Class A Common Stock · 219,472 shares Expires not disclosed F3 · security: In consideration of Michael Barnes' services to the Registrant, Tricadia was granted stock options to purchase 219,472 shares of common stock of the Registrant subject to the terms of a Stock Option Agreement among the Registrant, Michael Barnes and Tricadia (the "Stock Option"). F4 · shares: Exercise of the Stock Option is subject to both (1) a time-based vesting requirement with one-third vesting each of February 22, 2020, 2021 and 2022 and (2) a performance-based vesting requirement that, at any time during the option term, achievement of a 20-day volume weighted average stock price of Registrant's Class A Common Stock, that exceeds the per share book value on an as exchanged basis as of December 31, 2016 (as reported in the Registrant's filings with the Securities and Exchange Commission). F4 · derivative.exercise_date: Exercise of the Stock Option is subject to both (1) a time-based vesting requirement with one-third vesting each of February 22, 2020, 2021 and 2022 and (2) a performance-based vesting requirement that, at any time during the option term, achievement of a 20-day volume weighted average stock price of Registrant's Class A Common Stock, that exceeds the per share book value on an as exchanged basis as of December 31, 2016 (as reported in the Registrant's filings with the Securities and Exchange Commission). F5 · derivative.expiration_date: The Stock Option will expire on the earlier of (1) February 22, 2027 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant. F2 · ownership.direct: The reporting person is a principal of Tricadia Holdings, L.P. ("Tricadia") 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. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 15:31 UTC | TIPTREE INC. TIPT · Entity 5239 | GrantClass A Common Stock | 109,736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-016466 · doc4.xml · nonDerivative · entry 1 Inayatullah Arif · CIK 0001499674 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By: Tricadia Holdings, L.P. Disclosed balance after: 159,983 F1 · shares: In consideration of Michael Barnes' services to the Registrant, Tricadia was granted restricted stock units, which represent the right to receive shares of the Registrant's Class A Common Stock, pursuant to the Registrant's Equity Plan. The restricted stock units are subject to cliff vesting on February 22, 2020 upon continuous employment of Michael Barnes from the grant date until such date, subject to certain terms contained in a restricted stock unit award agreement among the Registrant, Michael Barnes and Tricadia. F2 · ownership.direct: The reporting person is a principal of Tricadia Holdings, L.P. ("Tricadia") 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.