0001144204-17-053288.txt : 20171019 0001144204-17-053288.hdr.sgml : 20171019 20171019174212 ACCESSION NUMBER: 0001144204-17-053288 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: FRANK ALEXANDER C CENTRAL INDEX KEY: 0001226177 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36701 FILM NUMBER: 171145451 MAIL ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 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 tv477350_4.xml OWNERSHIP DOCUMENT X0306 4 2017-10-17 0 0001611988 Fifth Street Asset Management Inc. FSAM 0001226177 FRANK ALEXANDER C C/O FIFTH STREET (FSAM) 777 WEST PUTNAM AVENUE, 3RD FLOOR GREENWICH CT 06830 1 0 0 0 Class A Common Stock, $0.01 par value per share 2017-10-17 4 M 0 76366 A 176926 D Class A Common Stock, $0.01 par value per share 2017-10-17 4 F 0 35685 3.95 D 141241 D Restricted Stock Units 2017-10-17 4 M 0 76366 0 D Class A Common Stock 76366 0 D On October 17, 2017, 76,366 restricted stock units ("RSUs) granted to Mr. Frank 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. /s/ Alexander C. Frank 2017-10-19