0001144204-17-014305.txt : 20170313 0001144204-17-014305.hdr.sgml : 20170313 20170313174629 ACCESSION NUMBER: 0001144204-17-014305 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170309 FILED AS OF DATE: 20170313 DATE AS OF CHANGE: 20170313 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Fifth Street Finance Corp. CENTRAL INDEX KEY: 0001414932 IRS NUMBER: 261219283 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 777 WEST PUTNAM AVENUE STREET 2: 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: (203) 681-3600 MAIL ADDRESS: STREET 1: 777 WEST PUTNAM AVENUE STREET 2: 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: Fifth Street Finance Corp DATE OF NAME CHANGE: 20071012 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TANNENBAUM LEONARD M CENTRAL INDEX KEY: 0001200461 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00755 FILM NUMBER: 17686296 MAIL ADDRESS: STREET 1: 10 BANK STREET, 12TH FLOOR CITY: WHITE PLAINS STATE: NY ZIP: 10606 4 1 v461718_form4.xml OWNERSHIP DOCUMENT X0306 4 2017-03-09 0 0001414932 Fifth Street Finance Corp. FSC 0001200461 TANNENBAUM LEONARD M C/O FIFTH STREET (FSC) 777 WEST PUTNAM AVENUE, 3RD FLOOR GREENWICH CT 06830 0 0 1 0 Common Stock 2017-03-09 4 P 0 205169 4.37 A 12278720.404 D Common Stock 2017-03-10 4 P 0 389571 4.43 A 12668291.404 D This transaction was executed in multiple trades at prices ranging from $4.33 to $4.39; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Mr. Tannenbaum's purchases of FSC common stock reported herein were matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 242,289 shares, with his sale of an aggregate of 242,289 shares of FSC common stock at prices ranging from $5.55 to $5.61 per share that occurred between December 13, 2016 and December 29, 2016. The reporting person has agreed to pay to FSC, upon settlement of the trades, $284,905.07, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs This transaction was executed in multiple trades at prices ranging from $4.39 to $4.45; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. /s/ Kerry S. Acocella, as attorney-in-fact for Leonard M. Tannenbaum 2017-03-13