Tiptree director Bradley E. Smith awarded 1,807 shares

TIPTREE INC. director Bradley E. Smith received an award of 1,807 common shares on October 6, 2026, representing the stock component of his annual retainer fee, which is paid quarterly in arrears.

Rhea-AI Filing Summary

TIPTREE INC. director Bradley E. Smith received an award of 1,807 common shares on October 6, 2026, representing the stock component of his annual retainer fee, which is paid quarterly in arrears. His reported direct holdings after the award were 109,070 shares. The filing also lists 63,738 shares held indirectly by Kahala Capital Advisors LLC; Smith is a principal of the firm and disclaims beneficial ownership except to the extent of his pecuniary interest.

Insider Trade Summary

Grant/Award: 1,807 shares

Grant/Award 2 txns

Insider Smith Bradley E.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	1,807	$0.00	$0.00
holding	Common Stock F2	--	--	--

Holdings After Transaction: Common Stock — 109,070 shares (Direct); Common Stock — 63,738 shares (Indirect, By: Kahala Capital Advisors LLC)

Footnotes (2)

1. F1. Represents the stock component of the director's annual retainer fee, which is paid quarterly in arrears.
2. F2. The reporting person is a principal of Kahala Capital Advisors 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.

Key Figures

Common shares awarded: 1,807 shares Direct common shares held: 109,070 shares Common shares held indirectly by Kahala Capital Advisors LLC: 63,738 shares

3 metrics

Common shares awarded 1,807 shares Awarded October 6, 2026 as the stock component of the director's annual retainer fee

Direct common shares held 109,070 shares Reported following the October 6, 2026 award

Common shares held indirectly by Kahala Capital Advisors LLC 63,738 shares Reported as held by the LLC

Key Terms

annual retainer fee, pecuniary interest, beneficial ownership

3 terms

annual retainer fee financial

"stock component of the director's annual retainer fee"

pecuniary interest financial

"except to the extent of his pecuniary interest"

beneficial ownership financial

"disclaims beneficial ownership of the reported securities"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many shares did TIPT director Bradley E. Smith receive?

Bradley E. Smith received 1,807 common shares on October 6, 2026, as the stock component of his director annual retainer fee, which is paid quarterly in arrears.

What TIPT shares did Bradley E. Smith report after the award?

He reported 109,070 common shares held directly after the award. The filing separately lists 63,738 shares held indirectly by Kahala Capital Advisors LLC; Smith is a principal of the firm and disclaims beneficial ownership except to the extent of his pecuniary interest.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 10/07/2026 - 04:10 PM Accepted by SEC EDGAR 10/07/2026 - 04:10 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Smith Bradley E.

(Last) (First) (Middle)

C/O TIPTREE INC.

660 STEAMBOAT ROAD

(Street)

GREENWICH CONNECTICUT 06830

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
TIPTREE INC. [ TIPT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/06/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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	10/06/2026		A		1,807(1)	A	$0	109,070	D
Common Stock								63,738	I(2)	By: Kahala Capital Advisors LLC

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: 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 stock component of the director's annual retainer fee, which is paid quarterly in arrears.

2. The reporting person is a principal of Kahala Capital Advisors 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/ Siew Kwok as Attorney-in-Fact for Bradley E. Smith	10/07/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)