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EX-99.1 - EXHIBIT 99.1 - ZAIS Group Holdings, Inc.v462348_ex99-1.htm

   

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

  

 

 

FORM 8-K

  

 

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): March 24, 2017

 

 

 

ZAIS GROUP HOLDINGS, INC.

(Exact name of registrant as specified in its charter)

 

Delaware 001-35848 46-1314400

(State or other jurisdiction

of incorporation)

(Commission File Number)

(IRS Employer

Identification No.)

  

Two Bridge Avenue, Suite 322

Red Bank, NJ

07701-1106
(Address of principal executive offices) (Zip Code)

 

Registrant's telephone number, including area code: (732) 978-7518

 

N/A

(Former name or former address, if changed since last report.)

 

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

  ¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

  ¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

  ¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

  ¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

   

 

 

  

Item 2.02 Results of Operations and Financial Condition.

  

On March 24, 2017, ZAIS Group Holdings, Inc. (the “Company”) issued an earnings release (the “Earnings Release”) announcing its financial results for the quarter and year ended December 31, 2016. A copy of the Earnings Release is attached as Exhibit 99.1 hereto and incorporated herein by reference. Additionally, on March 24, 2017, the Company made available on its website, www.ZAISGroupHoldings.com, supplemental investor information relating to the Company’s assets under management.

 

The information pertaining to Item 2.02 in this Current Report, including Exhibit 99.1, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section. The information contained in Item 2.02 in this Current Report shall not be incorporated by reference into any registration statement or other document pursuant to the Securities Act of 1933, as amended, unless it is specifically incorporated by reference therein.

 

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits

 

Exhibit No.   Description
99.1   Earnings Release, dated March 24, 2017

  

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  ZAIS GROUP HOLDINGS, INC.
     
  By: /s/ Nisha Motani
    Nisha Motani
    Acting Chief Financial Officer
Date: March 24, 2017    

 

 

 

 

EXHIBIT INDEX

  

Exhibit No.   Description
99.1   Earnings Release, dated March 24, 2017