0000914760-17-000002.txt : 20170104 0000914760-17-000002.hdr.sgml : 20170104 20170104165300 ACCESSION NUMBER: 0000914760-17-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161230 FILED AS OF DATE: 20170104 DATE AS OF CHANGE: 20170104 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: Motani Nisha CENTRAL INDEX KEY: 0001572518 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35848 FILM NUMBER: 17506470 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 motani_form4.xml OWNERSHIP DOCUMENT X0306 4 2016-12-30 0 0001562214 ZAIS Group Holdings, Inc. ZAIS 0001572518 Motani Nisha TWO BRIDGE AVENUE SUITE 322 RED BANK NJ 07701 0 1 0 0 Acting CFO & Chief Acctg. Ofc. Class A Common Stock, par value $.0001 2016-12-30 4 A 0 32653 A 32653 D Class B-0 Units of ZAIS Group Parent, LLC 2016-12-30 4 D 0 32653 D 2017-03-17 2016-12-31 Class A Common Stock 32653 0 D Pursuant to Restricted Stock Units that are scheduled to vest on March 17, 2017 granted under the ZAIS Group Holdings, Inc. 2015 Stock Incentive Plan. The reporting person elected to cancel 32,653 unvested Class B-0 Units of ZAIS Group Parent, LLC and receive in substitution therefor 32,653 Restricted Stock Units granted under the ZAIS Group Holdings, Inc. 2015 Stock Incentive Plan. Under certain circumstances, each Class B-0 Unit is exchangeable for one share of Class A Common Stock or cash, at the option of ZAIS Group Holdings, Inc. /s/ Thomas P. Conaghan, as Attorney-in-Fact 2017-01-04