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