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