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