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