SEC Form 3 · accession 0001140361-18-002627
ZAIS Group Holdings, Inc. · ZAIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Jan 11, 2018
Accepted (ET)
Jan 19, 2018 · 5:10 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 Stock | holding | — | — | — | 112,497 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Units of ZAIS Group Parent, LLCF2,F1 | — | holding | — | — | — | Mar 17, 2015 | — | Class A Common Stock | 1,050,000 | — | D |
Explanation of responses
- F1The terms of the Units are governed by an Exchange Agreement dated March 17, 2015, the form of which is filed with the Securities and Exchange Commission as Annex C to the Proxy Statement of HF2 Financial Management Inc. on January 26, 2015.
- F2Each Unit is convertible into one share of Class A Common Stock.
Remarks
As a result of an agreement entered into on January 11, 2018, the reporting person may be deemed to be a member of a "group," within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, with Christian Zugel and Z Acquisition LLC, who are the beneficial owners of more than 10% of the outstanding shares of Class A Common Stock of the Issuer.