0001140361-17-047400.txt : 20171226 0001140361-17-047400.hdr.sgml : 20171225 20171226170903 ACCESSION NUMBER: 0001140361-17-047400 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171214 FILED AS OF DATE: 20171226 DATE AS OF CHANGE: 20171226 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zugel Family Trust CENTRAL INDEX KEY: 0001726406 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35848 FILM NUMBER: 171274870 BUSINESS ADDRESS: STREET 1: C/O MARK MAHONEY AS CO-TRUSTEE STREET 2: 222 CHEROKEE ROAD CITY: CHARLOTTE STATE: NC ZIP: 28207 BUSINESS PHONE: 704-340-0194 MAIL ADDRESS: STREET 1: C/O MARK MAHONEY AS CO-TRUSTEE STREET 2: 222 CHEROKEE ROAD CITY: CHARLOTTE STATE: NC ZIP: 28207 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 3 1 doc1.xml FORM 3 X0206 3 2017-12-14 0 0001562214 ZAIS Group Holdings, Inc. ZAIS 0001726406 Zugel Family Trust C/O MARK MAHONEY AS CO-TRUSTEE 222 CHEROKEE ROAD CHARLOTTE NC 28207 0 0 0 1 Member of 10% Group Class A Common Stock 74997 D Class A Units of ZAIS Group Parent, LLC 2015-03-17 Class A Common Stock 525000 D 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. As a result of an agreement entered into on December 14, 2017, the reporting person may be deemed to be a member of a "group," within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, with Christian Zugel and Z Acquisition LLC, who are the beneficial owners of more than 10% of the outstanding shares of Class A Common Stock of the Issuer. /s/ Mark Mahoney, Co-Trustee 2017-12-21