Company: TIPT
Filing Date: 2025-10-31
Form Type: DEFM14A
Source: 0001140361-25-039949
Chunk: 377

Company: TIPTREE INC.
Filing Date: 2025-10-31
Form: DEFM14A
Chunk 377
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 in the aggregate are being made only in accordance with authorization of management of the Company and (iii) regarding prevention or timely detection of fraudulent acquisition, use or disposition of the Company’s (or such Subsidiaries’) assets. Since the Audited Balance Sheet Date there have not been any, significant deficiencies or material weaknesses (as defined by the Public Company Accounting Oversight Board) in the design or operation of the Company’s internal controls over financial reporting, which could reasonably be expected to materially and adversely affect the Company’s ability to accurately report financial information or any fraud that involves the Company’s management or other employees who have a significant role in the preparation of internal controls. Since the Audited Balance Sheet Date, the Company has not identified and has not been advised by the Company’s auditors of any fraud or allegation of fraud, whether or not material, that involves management or other employees of the Company who have a significant role in the Group Company’s internal controls over financial reporting.

Section 4.04 Absence of Certain Changes or Events.

(a) Except for the transactions contemplated hereby, since the Interim Date, the Company and the Subsidiaries have conducted their businesses in the ordinary course of business consistent with past practice.

(b) Since the Interim Date until the date of this Agreement, there has not been a Material Adverse Effect.

(c) Since the Interim Date, none of the Group Companies have taken any action that would have required the prior written consent of Purchaser under Section 7.01(c) , (d) , (j) , (l), (m), (n), (o), (p), (q) , (s), (w) or (x) (as it relates to (c) , (d) , (j) , (l), (m), (n), (o), (p), (q) , (s) or (w) ) if such action had been taken after the date hereof and prior to the Closing.

Section 4.05 Ownership of Stock/Capitalization.

(a) As of the date of this Agreement, the total number of shares of capital stock of all classes that the Company has the authority to issue is (i) 400,000,000 shares of Common Stock and (ii) 100,000,000 shares of Preferred Stock, of which 5,333,333 shares of Preferred Stock have been designated Series A Preferred Stock. Of such authorized shares, as of September