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