Filing Details

Accession Number:
0001140361-18-024904
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2018-05-21 15:18:50
Reporting Period:
2015-03-17
Accepted Time:
2018-05-21 15:18:50
Original Submission Date:
2017-09-07
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1562214 Zais Group Holdings Inc. ZAIS Investment Advice (6282) 461314400
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1568768 Christian Zugel Two Bridge Avenue
Suite 322
Red Bank NJ 07701
Chief Investmt Officer & Chmn Yes Yes Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2017-09-05 6,500,000 $4.10 6,500,000 No 4 P Indirect Note
Class A Common Stock Acquisiton 2015-03-17 100,000 $0.01 300,000 No 4 P Direct
Class A Common Stock Acquisiton 2015-03-17 37,499 $0.01 112,497 No 4 P Indirect Note
Class A Common Stock Acquisiton 2015-03-17 24,999 $0.01 74,997 No 4 P Indirect Note
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Note
No 4 P Direct
No 4 P Indirect Note
No 4 P Indirect Note
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Class A Units of ZAIS Group Parent, LLC Acquisiton 2015-03-17 3,325,000 $0.00 3,325,000 $0.00
Class A Common Stock Class A Units of ZAIS Group Parent, LLC Acquisiton 2015-03-17 1,050,000 $0.00 1,050,000 $0.00
Class A Common Stock Class A Units of ZAIS Group Parent, LLC Acquisiton 2015-03-17 525,000 $0.00 525,000 $0.00
Class A Common Stock Class A Units of ZAIS Group Parent, LLC Acquisiton 2015-03-17 700,000 $0.00 700,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
3,325,000 2017-03-17 No 4 A Direct
1,050,000 2017-03-17 No 4 A Indirect
525,000 2017-03-17 No 4 A Indirect
700,000 2017-03-17 No 4 A Indirect
Footnotes
  1. Held by Z Acquisition LLC in respect of which the reporting person is the managing member pursuant to the Second Amended and Restated Limited Liability Company Agreement dated as of January 11, 2018.
  2. Held by Family Trust U/A Christian M. Zugel 2005 GRAT. The reporting person disclaims beneficial ownership of the shares held by the trust since an independent trustee and investment adviser govern the trust.
  3. Held by Zugel Family Trust. The reporting person disclaims beneficial ownership of such shares since an independent trustee and adviser govern the trust.
  4. Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015.
  5. Held by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares.
  6. The terms of the Units are governed by an Exchange Agreement dated March 17, 2015, the form of which is filed with the Securities and Exchange Commission as Annex C to the Proxy Statement of HF2 Financial Management Inc. on January 26, 2015.
  7. Each Unit is convertible into one share of Class A Common Stock.