0000914760-17-000005.txt : 20170104
0000914760-17-000005.hdr.sgml : 20170104
20170104165431
ACCESSION NUMBER: 0000914760-17-000005
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: Steinberg Howard
CENTRAL INDEX KEY: 0001636039
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35848
FILM NUMBER: 17506504
MAIL ADDRESS:
STREET 1: TWO BRIDGE AVENUE
STREET 2: SUITE 322
CITY: RED BANK
STATE: NJ
ZIP: 07701
4
1
formfour.xml
X0306
4
2016-12-30
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 A Common Stock, par value $.0001
2016-12-30
4
A
0
65306
A
65306
D
Class B-0 Units of ZAIS Group Parent, LLC
2016-12-30
4
D
0
65306
D
2017-03-17
2016-12-31
Class A Common Stock
65306
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 65,306 unvested Class B-0 Units of ZAIS Group Parent, LLC and receive in substitution therefor 65,306 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