0000914760-15-000126.txt : 20150319 0000914760-15-000126.hdr.sgml : 20150319 20150319204321 ACCESSION NUMBER: 0000914760-15-000126 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: Steinberg Howard CENTRAL INDEX KEY: 0001636039 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35848 FILM NUMBER: 15714331 MAIL ADDRESS: STREET 1: TWO BRIDGE AVENUE STREET 2: SUITE 322 CITY: RED BANK STATE: NJ ZIP: 07701 4 1 formfour.xml X0306 4 2015-03-17 0 0001562214 ZAIS Group Holdings, Inc. ZAIS 0001636039 Steinberg Howard TWO BRIDGE AVENUE SUITE 322 RED BANK NJ 07701 0 1 0 0 General Counsel Class B-O Units of ZAIS Group Parent, LLC 2015-03-17 4 A 0 65306 0 A 2017-03-17 Class A Common Stock 65306 65306 D Each Class B-O Unit is convertible into one share of Class A Common Stock The Units are subject to limitations on transfer and forfeiture upon certain events as described in the Schedule 14A filed by HF2 Financial Management Inc. with the Securities and Exchange Commission on January 26, 2015. /s/ Elliott Smith, as Attorney-in-Fact 2015-03-19