0000914760-16-000478.txt : 20161102 0000914760-16-000478.hdr.sgml : 20161102 20161102203757 ACCESSION NUMBER: 0000914760-16-000478 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161101 FILED AS OF DATE: 20161102 DATE AS OF CHANGE: 20161102 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ZAIS Group Holdings, Inc. CENTRAL INDEX KEY: 0001562214 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 461314400 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: TWO BRIDGE AVENUE STREET 2: SUITE 322 CITY: RED BANK STATE: NJ ZIP: 07701-1106 BUSINESS PHONE: (732) 978-7518 MAIL ADDRESS: STREET 1: TWO BRIDGE AVENUE STREET 2: SUITE 322 CITY: RED BANK STATE: NJ ZIP: 07701-1106 FORMER COMPANY: FORMER CONFORMED NAME: HF2 FINANCIAL MANAGEMENT INC. DATE OF NAME CHANGE: 20130214 FORMER COMPANY: FORMER CONFORMED NAME: H2 FINANCIAL MANAGEMENT INC. DATE OF NAME CHANGE: 20121114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GUENTHER PAUL B CENTRAL INDEX KEY: 0001185524 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35848 FILM NUMBER: 161969643 MAIL ADDRESS: STREET 1: C/O GABELLI ASSET MANAGEMENT INC STREET 2: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 16580 4 1 guenther_form4.xml OWNERSHIP DOCUMENT X0306 4 2016-11-01 0 0001562214 ZAIS Group Holdings, Inc. ZAIS 0001185524 GUENTHER PAUL B TWO BRIDGE AVENUE SUITE 322 RED BANK NJ 07701 1 0 0 0 Class A Common Stock, par value $.0001 2016-11-01 4 A 0 24777 0 A 45091 D Includes 10,314 Restricted Stock Units ("RSUs") that are expected to vest on April 21, 2017 and 24,777 RSUs that are expected to vest on November 1, 2017. /s/ Thomas P. Conaghan, as Attorney-in-Fact 2016-11-02