SEC Form 4/A · accession 0001094891-18-000031
ZAIS Group Holdings, Inc. · ZAIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Neil P. Ramsey
10% Owner
Period of report
Sep 5, 2017
Accepted (ET)
Jan 16, 2018 · 5:46 pm 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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2,F1 | Sep 5, 2017 | S | 6,500,000 | $4.10 | D | 2,707,056 | I | By Ramguard 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.
- F2On January 11, 2018, the purchase price for these securities was adjusted from $4.00 per share, the purchase price disclosed in the original report, to $4.10 per share.