SEC Form 4 · accession 0001094891-15-000086
ZAIS Group Holdings, Inc. · ZAIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neil P. Ramsey
10% Owner
Period of report
Mar 4, 2015
Accepted (ET)
Mar 6, 2015 · 11:51 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001562214
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 4, 2015 | P | 3,335,428 | $10.50 | A | 5,714,311 | I | By d.Quant Special Opportunities Fund, LP |
| Common StockF2 | holding | — | — | — | 1,135,973 | I | By NAR Special Global, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person is the general partner of d.Quant Special Opportunities Fund, LP, which holds these securities. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities in excess of such interest for purposes of Section 16 or for any other purpose.
- F2The reporting person is the managing member of NAR Special Global, LLC, which holds these securities. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities in excess of such interest for purposes of Section 16 or for any other purpose.