Home > Insider Trading > Filing (0000914760-15-000122)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1562214	Zais Group Holdings Inc.	ZAIS	Investment Advice (6282)	461314400

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1568768	Christian Zugel	Two Bridge Avenue Suite 322 Red Hook NJ 07701	Chief Investmt Officer & Chmn	Yes	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2015-03-17	100,000	$0.01	300,000	No	4	P	Direct
Class A Common Stock	Acquisiton	2015-03-17	37,499	$0.01	112,499	No	4	P	Indirect	Note
Class A Common Stock	Acquisiton	2015-03-17	24,999	$0.01	74,999	No	4	P	Indirect	Note

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Indirect	Note
No	4	P	Indirect	Note

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Class A Units of ZAS Group Parent, LLC	Acquisiton	2015-03-17	3,325,000	$0.00	3,325,000	$0.00
Class A Common Stock	Class A Units of ZAS Group Parent, LLC	Acquisiton	2015-03-17	1,050,000	$0.00	1,050,000	$0.00
Class A Common Stock	Class A Units of ZAS Group Parent, LLC	Acquisiton	2015-03-17	525,000	$0.00	525,000	$0.00
Class A Common Stock	Class A Units of ZAS Group Parent, LLC	Acquisiton	2015-03-17	700,000	$0.00	70,000	$0.00

Remaning Holdings	Exercise Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
3,325,000	2017-03-17	No	4	A	Direct
1,050,000	2017-03-17	No	4	A	Indirect
525,000	2017-03-17	No	4	A	Indirect
70,000	2017-03-17	No	4	A	Indirect

Footnotes

Held by Family Trust U/A Christian M. Zugel 2005 GRAT. The reporting perosn 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 Class B-O Unit is convertible into one share of Class A Common Stock.