Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CENTRAL & EASTERN EUROPE FUND, INC.CEE · Entity 8830 | Director | January 31, 2025 | February 03, 2025 |
| EUROPEAN EQUITY FUND, INC / MDEEA · Entity 6960 | Director | January 31, 2025 | February 03, 2025 |
| NEW GERMANY FUND INCGF · Entity 1328 | Director | June 24, 2022 | July 06, 2022 |
| ZAIS Group Holdings, Inc.ZAIS · Entity 166472 | Director · Chief Investmt Officer & Chmn · 10% owner | March 17, 2015 | May 21, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CENTRAL & EASTERN EUROPE FUND, INC.
Report date January 31, 2025 · Filed February 03, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 494.58 |
Reported balance
After 2025-01-31 transaction · row 1
1 source rowRow 1 · 2025-01-31 · Other · Acquired 13.58 · Balance 494.58 F1: Shares acquired through dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired through dividend reinvestment.
EUROPEAN EQUITY FUND, INC / MD
Report date January 31, 2025 · Filed February 03, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,515.16 |
Reported balance
After 2025-01-31 transaction · row 1
1 source rowRow 1 · 2025-01-31 · Other · Acquired 24.16 · Balance 1,515.16 F1: Shares acquired through dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired through dividend reinvestment.
NEW GERMANY FUND INC
Report date June 24, 2022 · Filed July 06, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,170.4 |
Reported balance
After 2022-06-24 transaction · row 1
1 source rowRow 1 · 2022-06-24 · Other · Acquired 1,081.4 · Balance 14,170.4 F1: Shares acquired as a result of a dividend distribution. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired as a result of a dividend distribution.
ZAIS Group Holdings, Inc.
Report date March 17, 2015 · Filed May 21, 2018 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectNote | 6,500,000 |
Reported balance
After 2017-09-05 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2017-09-05 · Purchase · Acquired 6,500,000 · Balance 6,500,000 F1: Held by Z Acquisition LLC in respect of which the reporting person is the managing member pursuant to the Second Amended and Restated Limited Liability Company Agreement dated as of January 11, 2018. |
| Class A Common StockSEC Table I · non-derivative | IndirectNote | 112,497 |
Reported balance
After 2015-03-17 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2015-03-17 · Purchase · Acquired 37,499 · Balance 112,497 F2: Held by Family Trust U/A Christian M. Zugel 2005 GRAT. The reporting person disclaims beneficial ownership of the shares held by the trust since an independent trustee and investment adviser govern the trust. |
| Class A Common StockSEC Table I · non-derivative | IndirectNote | 74,997 |
Reported balance
After 2015-03-17 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2015-03-17 · Purchase · Acquired 24,999 · Balance 74,997 F3: Held by Zugel Family Trust. The reporting person disclaims beneficial ownership of such shares since an independent trustee and adviser govern the trust. |
| Class A Common StockSEC Table I · non-derivative | Direct | 300,000 |
Reported balance
After 2015-03-17 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2015-03-17 · Purchase · Acquired 100,000 · Balance 300,000 |
| Class A Units of ZAIS Group Parent, LLCSEC Table II · derivative / convertible security | Direct | 3,325,000 |
Reported balance
After 2015-03-17 transaction · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · 2015-03-17 · Grant · Acquired 3,325,000 · Balance 3,325,000 F7: Each Unit is convertible into one share of Class A Common Stock. F4: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6: 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. |
| Class A Units of ZAIS Group Parent, LLCSEC Table II · derivative / convertible security | IndirectNote | 1,050,000 |
Reported balance
After 2015-03-17 transaction · row 6
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 6 · 2015-03-17 · Grant · Acquired 1,050,000 · Balance 1,050,000 F7: Each Unit is convertible into one share of Class A Common Stock. F4: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6: 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. F2: Held by Family Trust U/A Christian M. Zugel 2005 GRAT. The reporting person disclaims beneficial ownership of the shares held by the trust since an independent trustee and investment adviser govern the trust. |
| Class A Units of ZAIS Group Parent, LLCSEC Table II · derivative / convertible security | IndirectNote | 525,000 |
Reported balance
After 2015-03-17 transaction · row 7
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 7 · 2015-03-17 · Grant · Acquired 525,000 · Balance 525,000 F7: Each Unit is convertible into one share of Class A Common Stock. F4: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6: 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. F3: Held by Zugel Family Trust. The reporting person disclaims beneficial ownership of such shares since an independent trustee and adviser govern the trust. |
| Class A Units of ZAIS Group Parent, LLCSEC Table II · derivative / convertible security | IndirectNote | 700,000 |
Reported balance
After 2015-03-17 transaction · row 8
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 8 · 2015-03-17 · Grant · Acquired 700,000 · Balance 700,000 F7: Each Unit is convertible into one share of Class A Common Stock. F4: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6: 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. F5: Held by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares. |
Filing footnotes · ownership attribution and instrument terms
F1: Held by Z Acquisition LLC in respect of which the reporting person is the managing member pursuant to the Second Amended and Restated Limited Liability Company Agreement dated as of January 11, 2018.
F2: Held by Family Trust U/A Christian M. Zugel 2005 GRAT. The reporting person disclaims beneficial ownership of the shares held by the trust since an independent trustee and investment adviser govern the trust.
F3: Held by Zugel Family Trust. The reporting person disclaims beneficial ownership of such shares since an independent trustee and adviser govern the trust.
F4: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015.
F5: Held by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares.
F6: 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.
F7: Each Unit is convertible into one share of Class A Common Stock.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Ready Capital Corp
Report date October 25, 2016 · Filed November 01, 2016 · Amendment
Section 16 reporting ended · disclosed 2016-11-01. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 34,925 |
Reported balance
After 2016-10-25 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2016-10-25 · Disposition to issuer · Disposed 77,986 · Balance 34,925 F1: The amount reported represents the final number of shares tendered to ZAIS Financial Corp. (the "Company") in connection with the tender offer by the Company pursuant to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission on September 27, 2016 (the "Tender Offer"). The final proration factor for the Tender Offer is 69.068872%. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 3,318 |
Reported balance
After 2016-10-25 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2016-10-25 · Disposition to issuer · Disposed 7,410 · Balance 3,318 F1: The amount reported represents the final number of shares tendered to ZAIS Financial Corp. (the "Company") in connection with the tender offer by the Company pursuant to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission on September 27, 2016 (the "Tender Offer"). The final proration factor for the Tender Offer is 69.068872%. |
Filing footnotes · ownership attribution and instrument terms
F1: The amount reported represents the final number of shares tendered to ZAIS Financial Corp. (the "Company") in connection with the tender offer by the Company pursuant to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission on September 27, 2016 (the "Tender Offer"). The final proration factor for the Tender Offer is 69.068872%.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 31, 2025 Filed Feb 3, 2025 22:47 UTC | EUROPEAN EQUITY FUND, INC / MD EEA · Entity 6960 | OtherCommon Stock | 24.16 | $8.70 | $210.19 |
DisclosureSEC source: 0001722106-25-000005 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,515.16 F1 · kind: Shares acquired through dividend reinvestment. Read SEC document |
| January 31, 2025 Filed Feb 3, 2025 22:41 UTC | CENTRAL & EASTERN EUROPE FUND, INC. CEE · Entity 8830 | OtherCommon Stock | 13.58 | $12.51 | $169.89 |
DisclosureSEC source: 0001722106-25-000004 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 494.58 F1 · kind: Shares acquired through dividend reinvestment. Read SEC document |
| January 26, 2024 Filed Jan 30, 2024 14:48 UTC | EUROPEAN EQUITY FUND, INC / MD EEA · Entity 6960 | OtherCommon Stock | 24.07 | $8.50 | $204.60 |
DisclosureSEC source: 0002001905-24-000011 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,491.5 F1 · kind: Shares of common stock received from dividend distribution Read SEC document |
| January 26, 2024 Filed Jan 30, 2024 14:40 UTC | CENTRAL & EASTERN EUROPE FUND, INC. CEE · Entity 8830 | OtherCommon Stock | 17.5 | $9.70 | $169.75 |
DisclosureSEC source: 0002001905-24-000007 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 482.32 F1 · kind: Shares of common stock received from dividend distribution Read SEC document |
| January 27, 2023 Filed Jan 30, 2023 21:02 UTC | EUROPEAN EQUITY FUND, INC / MD EEA · Entity 6960 | OtherCommon Stock | 24.7 | $8.47 | $209.32 |
DisclosureSEC source: 0001179124-23-000008 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,468.39 F1 · shares: Shares acquired as a result of dividend distribution. Read SEC document |
| January 27, 2023 Filed Jan 30, 2023 20:51 UTC | CENTRAL & EASTERN EUROPE FUND, INC. CEE · Entity 8830 | OtherCommon Stock | 11.82 | $9.15 | $108.15 |
DisclosureSEC source: 0001179124-23-000004 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 464.82 F1 · shares: Shares acquired as a result of dividend distribution. Read SEC document |
| June 24, 2022 Filed Jul 6, 2022 20:51 UTC | EUROPEAN EQUITY FUND, INC / MD EEA · Entity 6960 | OtherCommon Stock | 130.69 | $7.29 | $952.21 |
DisclosureSEC source: 0001179124-22-000029 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,443.69 F1 · shares: Shares acquired as a result of a dividend distribution. Read SEC document |
| June 24, 2022 Filed Jul 6, 2022 20:47 UTC | NEW GERMANY FUND INC GF · Entity 1328 | OtherCommon Stock | 1,081.4 | $8.78 | $9,494.69 |
DisclosureSEC source: 0001179124-22-000028 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,170.4 F1 · shares: Shares acquired as a result of a dividend distribution. Read SEC document |
| January 28, 2022 Filed Jan 31, 2022 22:49 UTC | EUROPEAN EQUITY FUND, INC / MD EEA · Entity 6960 | OtherCommon Stock | 174.1 | $9.60 | $1,671.36 |
DisclosureSEC source: 0001179124-22-000014 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,316.74 F1 · shares: Shares acquired through dividend reinvestment. Read SEC document |
| January 28, 2022 Filed Jan 31, 2022 22:26 UTC | CENTRAL & EASTERN EUROPE FUND, INC. CEE · Entity 8830 | OtherCommon Stock | 17.94 | $23.23 | $416.75 |
DisclosureSEC source: 0001179124-22-000005 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 455.3 F1 · shares: Shares acquired through dividend reinvestment. Read SEC document |
| June 25, 2021 Filed Jun 28, 2021 18:15 UTC | NEW GERMANY FUND INC GF · Entity 1328 | OtherCommon Stock | 425.51 | $20.38 | $8,671.04 |
DisclosureSEC source: 0001179124-21-000024 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,723.26 F1 · kind: Dividend Reinvestment Read SEC document |
| January 28, 2021 Filed Jan 29, 2021 15:29 UTC | NEW GERMANY FUND INC GF · Entity 1328 | OtherCommon Stock | 77.88 | $19.74 | $1,536.96 |
DisclosureSEC source: 0001179124-21-000012 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 803.16 F1 · shares: Shares acquired through dividend reinvestment. Read SEC document |
| January 28, 2021 Filed Jan 29, 2021 15:27 UTC | CENTRAL & EASTERN EUROPE FUND, INC. CEE · Entity 8830 | OtherCommon Stock | 16.26 | $23.80 | $386.99 |
DisclosureSEC source: 0001179124-21-000011 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 437.36 F1 · shares: Shares acquired through dividend reinvestment. Read SEC document |
| January 28, 2021 Filed Mar 5, 2021 15:15 UTC Amendment | NEW GERMANY FUND INC GF · Entity 1328 | OtherCommon Stock | 901.52 | $19.74 | $17,791.50 |
DisclosureSEC source: 0001179124-21-000014 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,297.74 F1 · shares: The number of shares received through dividend reinvestment was erroneously reported as 77.88 on 1/29/21. Read SEC document |
| June 25, 2020 Filed Jun 29, 2020 18:38 UTC | EUROPEAN EQUITY FUND, INC / MD EEA · Entity 6960 | OtherCommon Stock | 16.77 | $8.31 | $139.36 |
DisclosureSEC source: 0001179124-20-000021 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,142.64 F1 · shares: Shares acquired through dividend reinvestment. Read SEC document |
| June 25, 2020 Filed Jun 29, 2020 18:50 UTC | NEW GERMANY FUND INC GF · Entity 1328 | OtherCommon Stock | 16.16 | $14.94 | $241.43 |
DisclosureSEC source: 0001179124-20-000025 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 725.28 F1 · shares: Shares acquired through dividend reinvestment. Read SEC document |
| June 25, 2020 Filed Nov 4, 2020 22:41 UTC Amendment | NEW GERMANY FUND INC GF · Entity 1328 | OtherCommon Stock | 187.1 | $14.94 | $2,795.27 |
DisclosureSEC source: 0001179124-20-000038 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,396.22 F1 · shares: Shares acquired through dividend distribution. This amount is an amendment to the previously filed number of shares. Read SEC document |
| May 20, 2020 Filed May 21, 2020 15:38 UTC | NEW GERMANY FUND INC GF · Entity 1328 | PurchaseCommon Stock | 7,500 | $13.66 | $102,450.00 |
DisclosureSEC source: 0001179124-20-000017 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,209.12 Read SEC document |
| January 30, 2020 Filed Jan 31, 2020 19:28 UTC | EUROPEAN EQUITY FUND, INC / MD EEA · Entity 6960 | OtherCommon Stock | 26 | $9.55 | $248.30 |
DisclosureSEC source: 0001179124-20-000008 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,125.87 F1 · shares: Dividends acquired through dividend reinvestment Read SEC document |
| January 30, 2020 Filed Jan 31, 2020 19:45 UTC | NEW GERMANY FUND INC GF · Entity 1328 | OtherAnjie LaRocca | 10 | $15.63 | $156.30 |
DisclosureSEC source: 0001179124-20-000012 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 709.12 F1 · shares: Dividends acquired through dividend reinvestment Read SEC document |
| January 30, 2020 Filed Jan 31, 2020 19:13 UTC | CENTRAL & EASTERN EUROPE FUND, INC. CEE · Entity 8830 | OtherCommon Stock | 22 | $27.73 | $610.06 |
DisclosureSEC source: 0001179124-20-000004 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 421.1 Read SEC document |
| November 05, 2019 Filed Nov 5, 2019 22:09 UTC | NEW GERMANY FUND INC GF · Entity 1328 | PurchaseCommon Stock | 700 | $14.79 | $10,353.00 |
DisclosureSEC source: 0001179124-19-000044 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700 Read SEC document |
| November 05, 2019 Filed Nov 6, 2019 15:37 UTC | CENTRAL & EASTERN EUROPE FUND, INC. CEE · Entity 8830 | PurchaseCommon Stock | 200 | $28.00 | $5,600.00 |
DisclosureSEC source: 0001179124-19-000045 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400 Read SEC document |
| November 04, 2019 Filed Nov 5, 2019 22:03 UTC | EUROPEAN EQUITY FUND, INC / MD EEA · Entity 6960 | PurchaseCommon Stock | 1,100 | $9.20 | $10,120.00 |
DisclosureSEC source: 0001179124-19-000043 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,100 Read SEC document |
| November 04, 2019 Filed Nov 5, 2019 22:00 UTC | CENTRAL & EASTERN EUROPE FUND, INC. CEE · Entity 8830 | PurchaseCommon Stock | 200 | $28.00 | $5,600.00 |
DisclosureSEC source: 0001179124-19-000042 · primary_doc.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200 Read SEC document |
| September 05, 2017 Filed Sep 7, 2017 15:10 UTC | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | PurchaseClass A Common Stock | 6,500,000 | $4.00 | $26,000,000.00 |
DisclosureSEC source: 0001140361-17-034650 · doc1.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 6,500,000 F1 · ownership.nature: Held by Z Acquisition LLC in respect of which the reporting person is the sole member. Read SEC document |
| September 05, 2017 Filed May 21, 2018 15:18 UTC Amendment | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | PurchaseClass A Common Stock | 6,500,000 | $4.10 | $26,650,000.00 |
DisclosureSEC source: 0001140361-18-024904 · doc1.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 6,500,000 F1 · ownership.nature: Held by Z Acquisition LLC in respect of which the reporting person is the managing member pursuant to the Second Amended and Restated Limited Liability Company Agreement dated as of January 11, 2018. Read SEC document |
| October 25, 2016 Filed Oct 28, 2016 00:53 UTC | Ready Capital Corp ZFC · Entity 5999 | Disposition to issuerCommon Stock | 7,455 | $15.37 | $114,583.35 |
DisclosureSEC source: 0001144204-16-129998 · v451541_form4.xml · nonDerivative · entry 2 Zugel Christian · CIK 0001568768 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 3,273 F1 · shares: The amount reported represents the estimated number of shares tendered to ZAIS Financial Corp. (the "Company") in connection with the tender offer by the Company pursuant to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission on September 27, 2016 (the "Tender Offer"). The Company will purchase only a prorated portion of the shares properly tendered by each tendering stockholder. Based on a preliminary count reported by the Company, the preliminary proration factor for the Tender Offer is 69.15%. If necessary, an amended Form 4 will be filed to report the number of shares actually sold by the reporting person in connection with the Tender Offer once the final proration factor is determined. Read SEC document |
| October 25, 2016 Filed Oct 28, 2016 00:53 UTC | Ready Capital Corp ZFC · Entity 5999 | Disposition to issuerCommon Stock | 78,473 | $15.37 | $1,206,130.01 |
DisclosureSEC source: 0001144204-16-129998 · v451541_form4.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,438 F1 · shares: The amount reported represents the estimated number of shares tendered to ZAIS Financial Corp. (the "Company") in connection with the tender offer by the Company pursuant to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission on September 27, 2016 (the "Tender Offer"). The Company will purchase only a prorated portion of the shares properly tendered by each tendering stockholder. Based on a preliminary count reported by the Company, the preliminary proration factor for the Tender Offer is 69.15%. If necessary, an amended Form 4 will be filed to report the number of shares actually sold by the reporting person in connection with the Tender Offer once the final proration factor is determined. Read SEC document |
| October 25, 2016 Filed Nov 1, 2016 21:15 UTC Amendment | Ready Capital Corp ZFC · Entity 5999 | Disposition to issuerCommon Stock | 7,410 | $15.37 | $113,891.70 |
DisclosureSEC source: 0001144204-16-130890 · v451815_4a.xml · nonDerivative · entry 2 Zugel Christian · CIK 0001568768 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 3,318 F1 · shares: The amount reported represents the final number of shares tendered to ZAIS Financial Corp. (the "Company") in connection with the tender offer by the Company pursuant to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission on September 27, 2016 (the "Tender Offer"). The final proration factor for the Tender Offer is 69.068872%. Read SEC document |
| October 25, 2016 Filed Nov 1, 2016 21:15 UTC Amendment | Ready Capital Corp ZFC · Entity 5999 | Disposition to issuerCommon Stock | 77,986 | $15.37 | $1,198,644.82 |
DisclosureSEC source: 0001144204-16-130890 · v451815_4a.xml · nonDerivative · entry 1 Zugel Christian · CIK 0001568768 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,925 F1 · shares: The amount reported represents the final number of shares tendered to ZAIS Financial Corp. (the "Company") in connection with the tender offer by the Company pursuant to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission on September 27, 2016 (the "Tender Offer"). The final proration factor for the Tender Offer is 69.068872%. Read SEC document |
| March 17, 2015 Filed Sep 7, 2017 15:10 UTC | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | GrantClass A Units of ZAS Group Parent, LLC · Derivative | 700,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-034650 · doc1.xml · derivative · entry 8 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 700,000 Underlying: Class A Common Stock · 700,000 shares Expires not disclosed F7 · derivative.exercise_price: Each Unit is convertible into one share of Class A Common Stock. F4 · price: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F5 · ownership.nature: Held by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares. Read SEC document |
| March 17, 2015 Filed Sep 7, 2017 15:10 UTC | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | GrantClass A Units of ZAS Group Parent, LLC · Derivative | 525,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-034650 · doc1.xml · derivative · entry 7 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 525,000 Underlying: Class A Common Stock · 525,000 shares Expires not disclosed F7 · derivative.exercise_price: Each Unit is convertible into one share of Class A Common Stock. F4 · price: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F3 · ownership.nature: Held by Zugel Family Trust. The reporting person disclaims beneficial ownership of such shares since an independent trustee and adviser govern the trust. Read SEC document |
| March 17, 2015 Filed Sep 7, 2017 15:10 UTC | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | GrantClass A Units of ZAS Group Parent, LLC · Derivative | 1,050,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-034650 · doc1.xml · derivative · entry 6 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 1,050,000 Underlying: Class A Common Stock · 1,050,000 shares Expires not disclosed F7 · derivative.exercise_price: Each Unit is convertible into one share of Class A Common Stock. F4 · price: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F2 · ownership.nature: Held by Family Trust U/A Christian M. Zugel 2005 GRAT. The reporting person disclaims beneficial ownership of the shares held by the trust since an independent trustee and investment adviser govern the trust. Read SEC document |
| March 17, 2015 Filed Sep 7, 2017 15:10 UTC | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | GrantClass A Units of ZAS Group Parent, LLC · Derivative | 3,325,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-034650 · doc1.xml · derivative · entry 5 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,325,000 Underlying: Class A Common Stock · 3,325,000 shares Expires not disclosed F7 · derivative.exercise_price: Each Unit is convertible into one share of Class A Common Stock. F4 · price: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. Read SEC document |
| March 17, 2015 Filed Sep 7, 2017 15:10 UTC | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | PurchaseClass A Common Stock | 24,999 | $0.01 | $147.49 |
DisclosureSEC source: 0001140361-17-034650 · doc1.xml · nonDerivative · entry 4 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 74,999 F3 · ownership.nature: Held by Zugel Family Trust. The reporting person disclaims beneficial ownership of such shares since an independent trustee and adviser govern the trust. Read SEC document |
| March 17, 2015 Filed Sep 7, 2017 15:10 UTC | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | PurchaseClass A Common Stock | 37,499 | $0.01 | $221.24 |
DisclosureSEC source: 0001140361-17-034650 · doc1.xml · nonDerivative · entry 3 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 112,499 F2 · ownership.nature: Held by Family Trust U/A Christian M. Zugel 2005 GRAT. The reporting person disclaims beneficial ownership of the shares held by the trust since an independent trustee and investment adviser govern the trust. Read SEC document |
| March 17, 2015 Filed Sep 7, 2017 15:10 UTC | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | PurchaseClass A Common Stock | 100,000 | $0.01 | $590.00 |
DisclosureSEC source: 0001140361-17-034650 · doc1.xml · nonDerivative · entry 2 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Read SEC document |
| March 17, 2015 Filed May 21, 2018 15:18 UTC Amendment | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | GrantClass A Units of ZAIS Group Parent, LLC · Derivative | 700,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-024904 · doc1.xml · derivative · entry 8 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 700,000 Underlying: Class A Common Stock · 700,000 shares Expires not disclosed F7 · derivative.exercise_price: Each Unit is convertible into one share of Class A Common Stock. F4 · price: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F5 · ownership.nature: Held by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares. Read SEC document |
| March 17, 2015 Filed May 21, 2018 15:18 UTC Amendment | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | GrantClass A Units of ZAIS Group Parent, LLC · Derivative | 525,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-024904 · doc1.xml · derivative · entry 7 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 525,000 Underlying: Class A Common Stock · 525,000 shares Expires not disclosed F7 · derivative.exercise_price: Each Unit is convertible into one share of Class A Common Stock. F4 · price: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F3 · ownership.nature: Held by Zugel Family Trust. The reporting person disclaims beneficial ownership of such shares since an independent trustee and adviser govern the trust. Read SEC document |
| March 17, 2015 Filed May 21, 2018 15:18 UTC Amendment | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | GrantClass A Units of ZAIS Group Parent, LLC · Derivative | 1,050,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-024904 · doc1.xml · derivative · entry 6 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 1,050,000 Underlying: Class A Common Stock · 1,050,000 shares Expires not disclosed F7 · derivative.exercise_price: Each Unit is convertible into one share of Class A Common Stock. F4 · price: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F2 · ownership.nature: Held by Family Trust U/A Christian M. Zugel 2005 GRAT. The reporting person disclaims beneficial ownership of the shares held by the trust since an independent trustee and investment adviser govern the trust. Read SEC document |
| March 17, 2015 Filed May 21, 2018 15:18 UTC Amendment | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | GrantClass A Units of ZAIS Group Parent, LLC · Derivative | 3,325,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-024904 · doc1.xml · derivative · entry 5 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,325,000 Underlying: Class A Common Stock · 3,325,000 shares Expires not disclosed F7 · derivative.exercise_price: Each Unit is convertible into one share of Class A Common Stock. F4 · price: Received in exchange for membership interests in ZAIS Group Parent, LLC in connection with the business combination with the issuer on March 17, 2015. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. Read SEC document |
| March 17, 2015 Filed May 21, 2018 15:18 UTC Amendment | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | PurchaseClass A Common Stock | 24,999 | $0.01 | $147.49 |
DisclosureSEC source: 0001140361-18-024904 · doc1.xml · nonDerivative · entry 4 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 74,997 F3 · ownership.nature: Held by Zugel Family Trust. The reporting person disclaims beneficial ownership of such shares since an independent trustee and adviser govern the trust. Read SEC document |
| March 17, 2015 Filed May 21, 2018 15:18 UTC Amendment | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | PurchaseClass A Common Stock | 37,499 | $0.01 | $221.24 |
DisclosureSEC source: 0001140361-18-024904 · doc1.xml · nonDerivative · entry 3 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Note Disclosed balance after: 112,497 F2 · ownership.nature: Held by Family Trust U/A Christian M. Zugel 2005 GRAT. The reporting person disclaims beneficial ownership of the shares held by the trust since an independent trustee and investment adviser govern the trust. Read SEC document |
| March 17, 2015 Filed May 21, 2018 15:18 UTC Amendment | ZAIS Group Holdings, Inc. ZAIS · Entity 166472 | PurchaseClass A Common Stock | 100,000 | $0.01 | $590.00 |
DisclosureSEC source: 0001140361-18-024904 · doc1.xml · nonDerivative · entry 2 Zugel Christian · CIK 0001568768 · Director · Chief Investmt Officer & Chmn · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.