0001140361-18-002627.txt : 20180119 0001140361-18-002627.hdr.sgml : 20180119 20180119171020 ACCESSION NUMBER: 0001140361-18-002627 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180111 FILED AS OF DATE: 20180119 DATE AS OF CHANGE: 20180119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Family Trust U/A Christian M. Zugel 2005 GRAT CENTRAL INDEX KEY: 0001728456 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35848 FILM NUMBER: 18538076 BUSINESS ADDRESS: STREET 1: C/O FIDUCIARY TRUST INTERNATIONAL OF DE STREET 2: 1220 N. MARKET ST., SUITE 333 CITY: WILMINGTON STATE: DE ZIP: 19801 BUSINESS PHONE: 302-252-9422 MAIL ADDRESS: STREET 1: C/O FIDUCIARY TRUST INTERNATIONAL OF DE STREET 2: 1220 N. MARKET ST., SUITE 333 CITY: WILMINGTON STATE: DE ZIP: 19801 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 2018-01-11 0 0001562214 ZAIS Group Holdings, Inc. ZAIS 0001728456 Family Trust U/A Christian M. Zugel 2005 GRAT C/O FIDUCIARY TRUST INT'L OF DELAWARE 1220 NORTH MARKET STREET, SUITE 333 WILMINGTON DE 19801 0 0 0 1 member of 10% group Class A Common Stock 112497 D Class A Units of ZAIS Group Parent, LLC 2015-03-17 Class A Common Stock 1050000 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 January 11, 2018, 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. By: Fiduciary Trust International of Delaware, Trustee, By: /s/ Jean W. Mottel, Managing Director 2018-01-19