0001414932-17-000018.txt : 20170327 0001414932-17-000018.hdr.sgml : 20170327 20170327180639 ACCESSION NUMBER: 0001414932-17-000018 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170323 FILED AS OF DATE: 20170327 DATE AS OF CHANGE: 20170327 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: 17716360 MAIL ADDRESS: STREET 1: 10 BANK STREET, 12TH FLOOR CITY: WHITE PLAINS STATE: NY ZIP: 10606 4 1 wf-form4_149065238537002.xml FORM 4 X0306 4 2017-03-23 0 0001414932 Fifth Street Finance Corp. FSC 0001200461 TANNENBAUM LEONARD M C/O FIFTH STREET (FSC) 777 WEST PUNAM AVENUE, 3RD FLOOR GREENWICH CT 06830 0 0 1 0 Common Stock 2017-03-23 4 P 0 210000 4.66 A 210000 I (1) - See below Common Stock 2017-03-24 4 P 0 222101 4.652 A 432101 I (1) - See below Common Stock 2017-03-27 4 P 0 223749 4.685 A 655850 I (1) - See below This transaction was executed in multiple trades at prices ranging from $4.64 to $4.67; 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 has previously disgorged to FSC profits realized in connection with purchases of an aggregate of 242,289 shares of FSC common stock occurring at prices less than or equal to $4.40 per share. Because the transactions reported herein occurred at prices greater than $4.40 per share, there are no additional recoverable profits subject to disgorgement to FSC. This transaction was executed in multiple trades at prices ranging from $4.63 to $4.66; 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. This transaction was executed in multiple trades at prices ranging from $4.63 to $4.71; 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. (1) The securities are held by the Leonard M. Tannenbaum 2012 Trust for the benefit of certain members of the reporting person's family for which Bernard D. Berman is a trustee. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. /s/ Kerry S. Acocella, as attorney-in-fact for Leonard M. Tannenbaum 2017-03-27