SEC Form 4 · accession 0000914760-15-000127
ZAIS Group Holdings, Inc. · ZAIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Don S. Choe
Officer — Chief Technology Officer
Period of report
Mar 17, 2015
Accepted (ET)
Mar 19, 2015 · 8:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001562214
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B-O Units of ZAIS Group Parent, LLCF1,F2 | — | Mar 17, 2015 | A | 65,306 | A | Mar 17, 2017 | — | Class A Common Stock | 65,306 | 65,306 | D |
Explanation of responses
- F1Each Class B-O Unit is convertible into one share of Class A Common Stock
- F2The Units are subject to limitations on transfer and forfeiture upon certain events as described in the Schedule 14A filed by HF2 Financial Management Inc. with the Securities and Exchange Commission on January 26, 2015.