0001140361-16-054665.txt : 20160224
0001140361-16-054665.hdr.sgml : 20160224
20160224160506
ACCESSION NUMBER: 0001140361-16-054665
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160222
FILED AS OF DATE: 20160224
DATE AS OF CHANGE: 20160224
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Fifth Street Asset Management Inc.
CENTRAL INDEX KEY: 0001611988
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 465610118
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 777 WEST PUTNAM AVENUE, 3RD FLOOR
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: (203) 992-4533
MAIL ADDRESS:
STREET 1: 777 WEST PUTNAM AVENUE, 3RD FLOOR
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DME Advisors, LP
CENTRAL INDEX KEY: 0001300763
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36701
FILM NUMBER: 161451948
BUSINESS ADDRESS:
STREET 1: 140 EAST 45TH STREET
STREET 2: 24TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212.973.1900
MAIL ADDRESS:
STREET 1: 140 EAST 45TH STREET
STREET 2: 24TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER NAME:
FORMER CONFORMED NAME: Greenlight Capital Advisors, L.L.C.
DATE OF NAME CHANGE: 20040817
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DME Capital Management, LP
CENTRAL INDEX KEY: 0001489933
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36701
FILM NUMBER: 161451949
BUSINESS ADDRESS:
STREET 1: 140 EAST 45TH STREET
STREET 2: 24TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-973-1900
MAIL ADDRESS:
STREET 1: 140 EAST 45TH STREET
STREET 2: 24TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DME Advisors GP, L.L.C.
CENTRAL INDEX KEY: 0001358081
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36701
FILM NUMBER: 161451950
BUSINESS ADDRESS:
STREET 1: 140 EAST 45TH STREET
STREET 2: 24TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212.973.1900
MAIL ADDRESS:
STREET 1: 140 EAST 45TH STREET
STREET 2: 24TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GREENLIGHT CAPITAL INC
CENTRAL INDEX KEY: 0001079114
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36701
FILM NUMBER: 161451951
BUSINESS ADDRESS:
STREET 1: 140 EAST 45TH STREET
STREET 2: 24TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 2129731900
MAIL ADDRESS:
STREET 1: 140 EAST 45TH STREET
STREET 2: 24TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: EINHORN DAVID
CENTRAL INDEX KEY: 0001240451
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36701
FILM NUMBER: 161451952
MAIL ADDRESS:
STREET 1: 140 EAST 45TH STREET
STREET 2: 24TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
4
1
doc1.xml
FORM 4
X0306
4
2016-02-22
1
0001611988
Fifth Street Asset Management Inc.
FSAM
0001240451
EINHORN DAVID
140 EAST 45TH STREET
FLOOR 24
NEW YORK
NY
10017
0
0
1
0
0001079114
GREENLIGHT CAPITAL INC
140 EAST 45TH STREET
24TH FLOOR
NEW YORK
NY
10017
0
0
1
0
0001358081
DME Advisors GP, L.L.C.
140 EAST 45TH STREET
24TH FLOOR
NEW YORK
NY
10017
0
0
1
0
0001489933
DME Capital Management, LP
140 EAST 45TH STREET
24TH FLOOR
NEW YORK
NY
10017
0
0
1
0
0001300763
DME Advisors, LP
140 EAST 45TH STREET
24TH FLOOR
NEW YORK
NY
10017
0
0
1
0
Class A Common Stock, par value $0.01 per share
2016-02-22
4
S
0
9300
3.4082
D
12800
I
See Footnote
Class A Common Stock, par value $0.01 per share
2016-02-22
4
S
0
53600
3.4082
D
73186
I
See Footnote
Class A Common Stock, par value $0.01 per share
2016-02-22
4
S
0
26600
3.4082
D
36300
I
See Footnote
Class A Common Stock, par value $0.01 per share
2016-02-22
4
S
0
98100
3.4082
D
134000
I
See Footnote
Class A Common Stock, par value $0.01 per share
2016-02-22
4
S
0
26600
3.4082
D
36400
I
See Footnote
Class A Common Stock, par value $0.01 per share
2016-02-22
4
S
0
35800
3.4082
D
49000
I
See Footnote
David Einhorn is the president of Greenlight Capital, Inc. ("Greenlight Inc.") and the senior manager of DME Advisors GP, LLC ("DME GP"). DME GP is the general partner of DME Advisors, LP ("DME") and DME Capital Management, LP ("DME CM"). Mr. Einhorn may be deemed to beneficially own the securities reported herein by virtue of his positions with respect to Greenlight Inc. and DME GP.
The foregoing entities control the disposition and voting of shares of Class A Common Stock ("Shares") of Fifth Street Asset Management Inc. (the "Issuer"), owned by the following entities: Greenlight Capital, L.P. ("Greenlight Fund"), Greenlight Capital Qualified, L.P. ("Greenlight Qualified"), Greenlight Capital Offshore Partners ("Greenlight Offshore"), Greenlight Capital (Gold), LP ("Greenlight Gold"), Greenlight Capital Offshore Master (Gold), Ltd. ("Greenlight Gold Offshore"), and an account managed by DME (the "Managed Account," and, together with Greenlight Fund, Greenlight Qualified, Greenlight Offshore, Greenlight Gold, Greenlight Gold Offshore, Greenlight Inc., DME GP, DME, DME CM and Mr. Einhorn, the "Greenlight Parties"), in the respective capacities and quantities further described in the footnotes below.
Pursuant to Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), the Greenlight Parties disclaim beneficial ownership of the Shares except to the extent of their respective pecuniary interests therein. The filing of this Form 4 shall not be construed as an admission that any of the Greenlight Parties is or was for the purposes of Section 16(a) of the Act, or otherwise, the beneficial owner of any of the Shares owned by Greenlight Fund, Greenlight Qualified, Greenlight Offshore, Greenlight Gold, Greenlight Gold Offshore or the Managed Account.
Greenlight Inc. controls the voting and disposition of 12,800 Shares held for the account of Greenlight Fund, of which Greenlight Inc. acts as investment manager.
Greenlight Inc. controls the voting and disposition of 73,186 Shares held for the account of Greenlight Qualified, of which Greenlight Inc. acts as investment manager.
DME CM controls the voting and disposition of 36,300 Shares held for the account of Greenlight Gold, of which DME MC acts as investment manager.
Greenlight Inc. controls the voting and disposition of 134,000 Shares held for the account of Greenlight Offshore, of which Greenlight Inc. acts as investment manager.
DME CM controls the voting and disposition of 36,400 shares held for the account of Greenlight Gold Offshore, of which DME MC acts as investment manager.
DME controls the voting and disposition of 49,000 Shares held for the account of the Managed Account, for which DME serves as the investment manager.
* The Power of Attorney executed by David Einhorn, authorizing the signatory to sign and file this Schedule 13G on David Einhorn's behalf, filed as Exhibit 99.2 to the Schedule 13G filed with the Securities and Exchange Commission on May 24, 2010 by the Reporting Persons with respect to the common stock of NCR Corporation, is hereby incorporated by reference.
/s/ Daniel Roitman*, attorney-in-fact for David Einhorn
2016-02-24
/s/ Daniel Roitman, Chief Operating Officer of Greenlight Capital, Inc.
2016-02-24
/s/ Daniel Roitman, Chief Operating Officer of DME Advisors GP, L.L.C., General Partner of DME Advisors, L.P.
2016-02-24
/s/ Daniel Roitman, Chief Operating Officer of DME Capital Management, L.P.
2016-02-24
/s/ Daniel Roitman, Chief Operating Officer of DME Advisors GP, L.L.C.
2016-02-24