0001140361-17-047400.txt : 20171226
0001140361-17-047400.hdr.sgml : 20171225
20171226170903
ACCESSION NUMBER: 0001140361-17-047400
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171214
FILED AS OF DATE: 20171226
DATE AS OF CHANGE: 20171226
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Zugel Family Trust
CENTRAL INDEX KEY: 0001726406
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35848
FILM NUMBER: 171274870
BUSINESS ADDRESS:
STREET 1: C/O MARK MAHONEY AS CO-TRUSTEE
STREET 2: 222 CHEROKEE ROAD
CITY: CHARLOTTE
STATE: NC
ZIP: 28207
BUSINESS PHONE: 704-340-0194
MAIL ADDRESS:
STREET 1: C/O MARK MAHONEY AS CO-TRUSTEE
STREET 2: 222 CHEROKEE ROAD
CITY: CHARLOTTE
STATE: NC
ZIP: 28207
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
3
1
doc1.xml
FORM 3
X0206
3
2017-12-14
0
0001562214
ZAIS Group Holdings, Inc.
ZAIS
0001726406
Zugel Family Trust
C/O MARK MAHONEY AS CO-TRUSTEE
222 CHEROKEE ROAD
CHARLOTTE
NC
28207
0
0
0
1
Member of 10% Group
Class A Common Stock
74997
D
Class A Units of ZAIS Group Parent, LLC
2015-03-17
Class A Common Stock
525000
D
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 Unit is convertible into one share of Class A Common Stock.
As a result of an agreement entered into on December 14, 2017, the reporting person may be deemed to be a member of a "group," within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, with Christian Zugel and Z Acquisition LLC, who are the beneficial owners of more than 10% of the outstanding shares of Class A Common Stock of the Issuer.
/s/ Mark Mahoney, Co-Trustee
2017-12-21