Filing Details
- Accession Number:
- 0001140361-17-034650
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-09-07 15:10:21
- Reporting Period:
- 2017-09-05
- Accepted Time:
- 2017-09-07 15:10:21
- SEC Url:
- Form 4 Filing
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 | 2017-09-05 | 6,500,000 | $4.00 | 6,500,000 | No | 4 | P | Indirect | Note |
| 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 | Indirect | Note |
| 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 | 700,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration 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 | |
| 700,000 | 2017-03-17 | No | 4 | A | Indirect |
Footnotes
- 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.
Billionaire Hedge Funds
