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