Amended Statement of Beneficial Ownership (sc 13d/a)
January 11 2017 - 3:08PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO
FILED PURSUANT TO
RULE 13d-2(a)
(Amendment No. 3)
ZAIS GROUP HOLDINGS, INC.
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(Name of Issuer)
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Class A Common Stock, par value $0.0001 per share
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(Title of Class of Securities)
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40421A104
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(CUSIP Number)
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Eric T. Schwartz, Esq.
Graubard Miller
405 Lexington Avenue, 11
th
Floor
New York, NY 10174
(212) 818-8800
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(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
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December 28, 2016
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(Date of Event which Requires Filing of this Statement)
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If the filing person
has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing
this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box.
o
Note:
Schedules
filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for
other parties to whom copies are to be sent.
* The remainder of
this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information that would alter disclosures provided in a prior cover page.
The information required
on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities
Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions
of the Act (however, see the Notes).
CUSIP No. 40421A104
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SCHEDULE 13D
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Page
1
of 4
Pages
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
d.Quant Special Opportunities Fund, LP
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a)
o
(b)
o
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
WC
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5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e)
o
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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SOLE VOTING POWER
9,207,056
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8
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SHARED VOTING POWER
0
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9
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SOLE DISPOSITIVE POWER
9,207,056
|
10
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SHARED DISPOSITIVE POWER
0
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,207,056
|
12
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
o
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
66.2%
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
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CUSIP No. 40421A104
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SCHEDULE 13D
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Page
2
of 4
Pages
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Neil Ramsey
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a)
o
(b)
o
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF
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5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e)
o
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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SOLE VOTING POWER
9,585,287
|
8
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SHARED VOTING POWER
0
|
9
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SOLE DISPOSITIVE POWER
9,585,287
|
10
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SHARED DISPOSITIVE POWER
0
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,585,287
|
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
o
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
69.0%
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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CUSIP No. 40421A104
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SCHEDULE 13D
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Page
3
of 4
Pages
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This Amendment No. 3 to Schedule 13D amends
and supplements the Schedule 13D originally filed with the Securities and Exchange Commission (“
SEC
”) by d.Quant
Special Opportunities Fund, LP (“
SpecOps
”) and Neil Ramsey (“
Ramsey
,” and together with SpecOps,
the “
Reporting Persons
”) on February 17, 2015, as previously amended by Amendment No. 1 thereto (“
Amendment
No. 1
”) filed with the SEC by the Reporting Persons on March 9, 2015 and Amendment No. 2 thereto (“
Amendment
No.
2”) filed with the SEC by the Reporting Persons on March 25, 2015 (as previously amended, the “
Existing
Schedule 13D
,” and as amended hereby, this “
Schedule 13D
”), with respect to ownership of Class A common
stock, par value $0.0001 per share (“
Class A Common Stock
”), of ZAIS Group Holdings, Inc. (formerly known as
HF2 Financial Management Inc.), a Delaware corporation (the “
Issuer
”). Capitalized terms used herein which are
not defined herein have the meanings given to them in the Existing Schedule 13D. Except as set forth below, the disclosure in the
Existing Schedule 13D remains unchanged. Only those items amended or supplemented are reported herein.
The percentage of beneficial ownership reflected
in this Schedule 13D is based upon 13,900,917 shares of Class A Common Stock outstanding as of November 3, 2016, as set forth in
the Issuer’s Quarterly Report on Form 10-Q filed on November 4, 2016.
Item 4. Purpose of Transaction.
Item 4 of the Existing Schedule 13D is amended and supplemented
as follows:
The Reporting Persons have approached the
Issuer’s management in order to discuss potential strategic alternatives available to the Issuer, including transactions
that may provide liquidity for the Reporting Persons and other stockholders of the Issuer. Any such transaction may involve the
acquisition by the Issuer or its affiliates of the Issuer’s outstanding shares of Common Stock (other than those held by
management), including those held by the Reporting Persons. Any such transaction also may have one or more of the other effects
described in clauses (a) through (j) of Item 4 of the Existing Schedule 13D.
Item 5. Interest in Securities of the Issuer.
Item 5 of the Existing Schedule 13D is amended and supplemented
as follows:
SpecOps is the beneficial owner of 9,207,056
shares of the Class A Common Stock, or approximately 66.2% of the Issuer’s outstanding Class A Common Stock. Ramsey is the
beneficial owner of 9,585,287 shares of the Class A Common Stock, or approximately 69.0% of the Issuer’s outstanding Class
A Common Stock, consisting of (i) 9,207,056 shares of the Class A Common Stock held by SpecOps and (ii) 378,231 shares of Class
A Common Stock held by NAR. Each of the Reporting Persons has sole voting and dispositive power over the shares that it beneficially
owns.
Since March 25, 2015, the date of filing
of Amendment No. 2, the Reporting Persons have not effected any transactions in the shares of Class A Common Stock.
CUSIP No. 40421A104
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SCHEDULE 13D
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Page
4
of 4
Pages
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SIGNATURE
After reasonable inquiry and to the best
of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated January 11, 2017
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d.QUANT SPECIAL OPPORTUNITIES FUND, LP
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By:
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/s/ Neil Ramsey
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Name:
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Neil Ramsey
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Title:
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General Partner
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/s/ Neil Ramsey
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Neil Ramsey
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