0001144204-16-129997.txt : 20161027 0001144204-16-129997.hdr.sgml : 20161027 20161027205231 ACCESSION NUMBER: 0001144204-16-129997 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161025 FILED AS OF DATE: 20161027 DATE AS OF CHANGE: 20161027 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ZAIS Financial Corp. CENTRAL INDEX KEY: 0001527590 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 900729143 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: TWO BRIDGE AVENUE, SUITE 322 CITY: RED BANK STATE: NJ ZIP: 07701 BUSINESS PHONE: 732-530-3610 MAIL ADDRESS: STREET 1: TWO BRIDGE AVENUE, SUITE 322 CITY: RED BANK STATE: NJ ZIP: 07701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Szymanski Michael CENTRAL INDEX KEY: 0001568804 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35808 FILM NUMBER: 161956772 MAIL ADDRESS: STREET 1: C/O ZAIS FINANCIAL CORP. STREET 2: TWO BRIDGE AVENUE, SUITE 322 CITY: RED BANK STATE: NJ ZIP: 07701 4 1 v451538_form4.xml OWNERSHIP DOCUMENT X0306 4 2016-10-25 0 0001527590 ZAIS Financial Corp. ZFC 0001568804 Szymanski Michael TWO BRIDGE AVENUE SUITE 322 RED BANK NJ 07701 0 1 0 0 CEO, President and Director Common Stock 2016-10-25 4 D 0 19324 15.37 D 8622 D The amount reported represents the estimated number of shares tendered to ZAIS Financial Corp. (the "Company") in connection with the tender offer by the Company pursuant to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission on September 27, 2016 (the "Tender Offer"). The Company will purchase only a prorated portion of the shares properly tendered by each tendering stockholder. Based on a preliminary count reported by the Company, the preliminary proration factor for the Tender Offer is 69.15%. If necessary, an amended Form 4 will be filed to report the number of shares actually sold by the reporting person in connection with the Tender Offer once the final proration factor is determined. The shares are held jointly by the Reporting Person and his spouse. /s/ Michael Szymanski 2016-10-27