0001144204-17-053290.txt : 20171019
0001144204-17-053290.hdr.sgml : 20171019
20171019174321
ACCESSION NUMBER: 0001144204-17-053290
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171017
FILED AS OF DATE: 20171019
DATE AS OF CHANGE: 20171019
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: 001-36701
FILM NUMBER: 171145456
MAIL ADDRESS:
STREET 1: 10 BANK STREET, 12TH FLOOR
CITY: WHITE PLAINS
STATE: NY
ZIP: 10606
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
4
1
tv477354_4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-10-17
0
0001611988
Fifth Street Asset Management Inc.
FSAM
0001200461
TANNENBAUM LEONARD M
C/O FIFTH STREET (FSAM)
777 WEST PUTNAM AVENUE, 3RD FLOOR
GREENWICH
CT
06830
1
1
1
0
CEO
Class A Common Stock, $0.01 par value per share
2017-10-17
4
M
0
432519
A
1072735
D
Class A Common Stock, $0.01 par value per share
2017-10-17
4
F
0
144959
3.95
D
927776
D
Class A Common Stock, $0.01 par value per share
8714348
I
By FSC CT II, Inc.
Class A Common Stock, $0.01 par value per share
762023
I
By Tannenbaum Family 2012 Trust
Restricted Stock Units
2017-10-17
4
M
0
432519
0
D
Class A Common Stock
432519
0
D
On October 17, 2017, 432,519 restricted stock units ("RSUs") granted to Mr. Tannenbaum in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting.
Represents securities held directly by FSC CT II, Inc., a Delaware corporation. Mr. Tannenbaum disclaims beneficial ownership except to the extent of his economic interest therein.
Represents securities held directly by the Tannenbaum Family 2012 Trust. Mr. Tannenbaum disclaims beneficial ownership except to the extent of his economic interest therein.
/s/ Leonard M. Tannenbaum
2017-10-19