0000914760-15-000122.txt : 20150319 0000914760-15-000122.hdr.sgml : 20150319 20150319203909 ACCESSION NUMBER: 0000914760-15-000122 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150317 FILED AS OF DATE: 20150319 DATE AS OF CHANGE: 20150319 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: 999 18TH STREET, SUITE 3000 CITY: DENVER STATE: CO ZIP: 80202 BUSINESS PHONE: 303-893-2902 MAIL ADDRESS: STREET 1: 999 18TH STREET, SUITE 3000 CITY: DENVER STATE: CO ZIP: 80202 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: Zugel Christian CENTRAL INDEX KEY: 0001568768 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35848 FILM NUMBER: 15714324 MAIL ADDRESS: STREET 1: TWO BRIDGE AVENUE STREET 2: SUITE 322 CITY: RED HOOK STATE: NJ ZIP: 07701 4 1 formfour.xml X0306 4 2015-03-17 0 0001562214 ZAIS Group Holdings, Inc. ZAIS 0001568768 Zugel Christian TWO BRIDGE AVENUE SUITE 322 RED HOOK NJ 07701 1 1 0 0 Chief Investmt Officer & Chmn Class A Common Stock 2015-03-17 4 P 0 100000 0.0059 A 300000 D Class A Common Stock 2015-03-17 4 P 0 37499 0.0059 A 112499 I Note Class A Common Stock 2015-03-17 4 P 0 24999 0.0059 A 74999 I Note Class A Units of ZAS Group Parent, LLC 2015-03-17 4 A 0 3325000 A 2017-03-17 Class A Common Stock 3325000 3325000 D Class A Units of ZAS Group Parent, LLC 2015-03-17 4 A 0 1050000 A 2017-03-17 Class A Common Stock 1050000 1050000 I Note Class A Units of ZAS Group Parent, LLC 2015-03-17 4 A 0 525000 A 2017-03-17 Class A Common Stock 525000 525000 I Note Class A Units of ZAS Group Parent, LLC 2015-03-17 4 A 0 700000 A 2017-03-17 Class A Common Stock 70000 70000 I Note Held by Family Trust U/A Christian M. Zugel 2005 GRAT. The reporting perosn disclaims beneficial ownership of the shares held by the trust since an independent trustee and investment adviser govern the trust. Held by Zugel Family Trust. The reporting person disclaims beneficial ownership of such shares since an independent trustee and adviser govern the trust. Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. Held by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares. The 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. Each Class B-O Unit is convertible into one share of Class A Common Stock. /s/ Elliott Smith, Attorney-in-Fact 2015-03-19