SEC Form 4 · accession 0001094891-17-000232
ZAIS Group Holdings, Inc. · ZAIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Neil P. Ramsey
10% Owner
Period of report
Sep 5, 2017
Accepted (ET)
Sep 7, 2017 · 4:08 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Sep 5, 2017 | S | 6,500,000 | $4.00 | D | 2,707,056 | I | By Ramguard LLC |
| Class A Common StockF2 | holding | — | — | — | 378,231 | 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 manager of Ramguard 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.
- 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.