0001144204-17-015275.txt : 20170317
0001144204-17-015275.hdr.sgml : 20170317
20170317104029
ACCESSION NUMBER: 0001144204-17-015275
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161212
FILED AS OF DATE: 20170317
DATE AS OF CHANGE: 20170317
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00755
FILM NUMBER: 17696793
MAIL ADDRESS:
STREET 1: 10 BANK STREET, 12TH FLOOR
CITY: WHITE PLAINS
STATE: NY
ZIP: 10606
4/A
1
v462098_4-a.xml
OWNERSHIP DOCUMENT
X0306
4/A
2016-12-12
2016-12-14
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, par value $0.01 per share
2016-12-12
4
S
0
34201
5.61
D
12081639.404
D
Common Stock, par value $0.01 per share
2016-12-13
4
S
0
46583
5.56
D
12035056.404
D
This transaction was executed in multiple trades at prices ranging from $5.60 to $5.64; 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.
The total number of shares referenced in the original Form 4 were inadvertently overstated by 50,000 shares. This overstatement also occurred in the four subsequent Form 4s filed by Mr. Tannenbaum between December 22, 2016 and March 15, 2017.
This transaction was executed in multiple trades at prices ranging from $5.55 to $5.60; 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
2017-03-17