SEC Form 4 · accession 0000914760-15-000212
ZAIS Group Holdings, Inc. · ZAIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donna Blank
Officer — Chief Financial Officer
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 5:09 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 | — | Jun 1, 2015 | A | 50,000 | A | Mar 17, 2017 | — | Class A Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Each Class B-O Unit is convertible into one share of Class A Common Stock of ZAIS Group Holdings, Inc.
- 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.