0001140361-17-034650.txt : 20170907 0001140361-17-034650.hdr.sgml : 20170907 20170907151021 ACCESSION NUMBER: 0001140361-17-034650 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170905 FILED AS OF DATE: 20170907 DATE AS OF CHANGE: 20170907 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zugel Christian CENTRAL INDEX KEY: 0001568768 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35848 FILM NUMBER: 171073735 MAIL ADDRESS: STREET 1: TWO BRIDGE AVENUE STREET 2: SUITE 322 CITY: RED HOOK STATE: NJ ZIP: 07701 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ZAIS Group Holdings, Inc. CENTRAL INDEX KEY: 0001562214 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 461314400 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: TWO BRIDGE AVENUE STREET 2: SUITE 322 CITY: RED BANK STATE: NJ ZIP: 07701-1106 BUSINESS PHONE: (732) 978-7518 MAIL ADDRESS: STREET 1: TWO BRIDGE AVENUE STREET 2: SUITE 322 CITY: RED BANK STATE: NJ ZIP: 07701-1106 FORMER COMPANY: FORMER CONFORMED NAME: HF2 FINANCIAL MANAGEMENT INC. DATE OF NAME CHANGE: 20130214 FORMER COMPANY: FORMER CONFORMED NAME: H2 FINANCIAL MANAGEMENT INC. DATE OF NAME CHANGE: 20121114 4 1 doc1.xml FORM 4 X0306 4 2017-09-05 0 0001562214 ZAIS Group Holdings, Inc. ZAIS 0001568768 Zugel Christian TWO BRIDGE AVENUE SUITE 322 RED HOOK NJ 07701 1 1 0 0 Chief Investmt Officer & Chmn Class A Common Stock 2017-09-05 4 P 0 6500000 4.00 A 6500000 I Note Class A Common Stock 2015-03-17 4 P 0 100000 0.0059 A 300000 D Class A Common Stock 2015-03-17 4 P 0 37499 0.0059 A 112499 I Note Class A Common Stock 2015-03-17 4 P 0 24999 0.0059 A 74999 I Note Class A Units of ZAS Group Parent, LLC 2015-03-17 4 A 0 3325000 A 2017-03-17 Class A Common Stock 3325000 3325000 D Class A Units of ZAS Group Parent, LLC 2015-03-17 4 A 0 1050000 A 2017-03-17 Class A Common Stock 1050000 1050000 I Note Class A Units of ZAS Group Parent, LLC 2015-03-17 4 A 0 525000 A 2017-03-17 Class A Common Stock 525000 525000 I Note Class A Units of ZAS Group Parent, LLC 2015-03-17 4 A 0 700000 A 2017-03-17 Class A Common Stock 700000 700000 I Note Held by Z Acquisition LLC in respect of which the reporting person is the sole member. 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. Held by Zugel Family Trust. The reporting person disclaims beneficial ownership of such shares since an independent trustee and adviser govern the trust. Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. Held by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares. 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. Each Unit is convertible into one share of Class A Common Stock. /s/ Christian Zugel 2017-09-07