SEC Form 4 · accession 0001140361-15-012642
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
R Bradley Forth
Officer — EVP, CFO, Secretary
Period of report
Mar 17, 2015
Accepted (ET)
Mar 19, 2015 · 3:09 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 Stock, par value $.0001 | Mar 17, 2015 | S | 251,253 | $0.0059 | D | 0 | D | |
| Class A Common Stock, par value $.0001F1 | Mar 17, 2015 | P | 3,056 | $0.0059 | A | 8,056 | I | By PENSCO Trust Company Custodian FBO Richard B. Forth IRA |
| Class A Common Stock, par value $.0001F2 | Mar 17, 2015 | P | 37,443 | $0.0059 | A | 84,851 | I | By Elevation Investments LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Forth has voting and dispositive power over the shares held in an IRA by PENSCO Trust Company Custodian FBO Richard B. Forth.
- F2Mr. Forth is the Managing Member of Elevation Investments LLC and has voting and dispositive power over the shares.