SEC Form 4/A · accession 0001140361-15-012679
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
R Bradley Forth
Officer — EVP, CFO, Secretary
Period of report
Mar 17, 2015
Accepted (ET)
Mar 19, 2015 · 5:24 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 | holding | — | — | — | 0 | D | ||
| Class A Common Stock, par value $.0001F1 | holding | — | — | — | 8,056 | I | By PENSCO Trust Company Custodian FBO Richard B. Forth IRA | |
| Class A Common Stock, par value $.0001F2 | holding | — | — | — | 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 of the shares held in an IRA by PENSCO Trust Company FBO Richard B. Forth IRA. This amended Form 4/A is being filed to correct the Ticker Symbol of the Issuer and to check the box to indicate that the filer is no longer subject to Section 16.
- F2Mr. Forth is the Managing Member of Elevation Investments LLC and has voting and dispositive power over the shares. This amended Form 4/A is being filed to correct the Ticker Symbol of the Issuer and to check the box to indicate that the filer is no longer subject to Section 16.