0001288136-16-000071.txt : 20160205
0001288136-16-000071.hdr.sgml : 20160205
20160205163005
ACCESSION NUMBER: 0001288136-16-000071
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160205
DATE AS OF CHANGE: 20160205
SUBJECT COMPANY:
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
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-88389
FILM NUMBER: 161392628
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
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Pine River Capital Management L.P.
CENTRAL INDEX KEY: 0001288136
IRS NUMBER: 710868907
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 601 CARLSON PARKWAY
STREET 2: SUITE 330
CITY: MINNETONKA
STATE: MN
ZIP: 55305
BUSINESS PHONE: 6122383300
MAIL ADDRESS:
STREET 1: 601 CARLSON PARKWAY
STREET 2: SUITE 330
CITY: MINNETONKA
STATE: MN
ZIP: 55305
FORMER COMPANY:
FORMER CONFORMED NAME: Pine River Capital Management, L.P.
DATE OF NAME CHANGE: 20040512
FORMER COMPANY:
FORMER CONFORMED NAME: NISSWA MASTER FUND LTD
DATE OF NAME CHANGE: 20040422
SC 13G/A
1
fsam021016.txt
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 1)
Fifth Street Asset Management Inc.
-------------------------------------------------------------------------------
(Name of Issuer)
Class A Common Stock, $0.01 Par Value
-------------------------------------------------------------------------------
(Title of Class of Securities)
31679P109
-------------------------------------------------------------------------------
(CUSIP Number)
December 31, 2015
-------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[ ] Rule 13d-1(b)
[x] Rule 13d-1(c)
[ ] Rule 13d-1(d)
CUSIP No. 31679P109
---------------------
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Brian Taylor
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [_]
(b) [x]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5. SOLE VOTING POWER
0
6. SHARED VOTING POWER
0
7. SOLE DISPOSITIVE POWER
0
8. SHARED DISPOSITIVE POWER
0
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[_]
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
12. TYPE OF REPORTING PERSON
IN
CUSIP No. 31679P109
---------------------
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Pine River Capital Management L.P.
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [_]
(b) [x]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, United States
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5. SOLE VOTING POWER
0
6. SHARED VOTING POWER
0
7. SOLE DISPOSITIVE POWER
0
8. SHARED DISPOSITIVE POWER
0
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[_]
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
12. TYPE OF REPORTING PERSON
IA
-------------------------------------------------------------------------------
CUSIP No. 31679P109
---------------------
Item 1(a). Name of Issuer:
Fifth Street Asset Management Inc.
--------------------------------------------------------------------
Item 1(b). Address of Issuer's Principal Executive Offices:
777 West Putnam Avenue, 3rd Floor
Greenwich, CT 06830
--------------------------------------------------------------------
Item 2(a). Name of Persons Filing:
Brian Taylor
Pine River Capital Management L.P.
--------------------------------------------------------------------
Item 2(b). Address of Principal Business Office, or if None, Residence:
Brian Taylor
Pine River Capital Management L.P.
601 Carlson Parkway
7th Floor
Minnetonka, MN 55305
c/o Pine River Capital Management L.P.
601 Carlson Parkway
7th Floor
Minnetonka, MN 55305
--------------------------------------------------------------------
Item 2(c). Citizenship:
Brian Taylor - United States
Pine River Capital Management L.P. - Delaware, United States
--------------------------------------------------------------------
Item 2(d). Title of Class of Securities:
Class A Common Stock, $0.01 Par Value
--------------------------------------------------------------------
Item 2(e). CUSIP Number:
31679P109
--------------------------------------------------------------------
Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b)
or (c), Check Whether the Person Filing is a:
(a) [_] Broker or dealer registered under Section 15 of the Exchange Act.
(b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act.
(c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange
Act.
(d) [_] Investment company registered under Section 8 of the Investment
Company Act.
(e) [X] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
(f) [_] An employee benefit plan or endowment fund in accordance with
Rule 13d-1(b)(1)(ii)(F);
(g) [_] A parent holding company or control person in accordance with
Rule 13d-1(b)(1)(ii)(G);
(h) [_] A savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act;
(i) [_] A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment
Company Act;
(j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
Item 4. Ownership.
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
----------------------------------------------------------------------
(b) Percent of class:
Brian Taylor - 0%
Pine River Capital Management L.P. - 0%
----------------------------------------------------------------------
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
(ii) Shared power to vote or to direct the vote:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
(iii) Sole power to dispose or to direct the disposition of:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
(iv) Shared power to dispose or to direct the disposition of:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more than
five percent of the class of securities check the following [X].
-----------------------------------------------------------------------
Item 6. Ownership of More Than Five Percent on Behalf of Another Person.
N/A
-----------------------------------------------------------------------
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on by the Parent Holding Company or Control
Person.
N/A
-----------------------------------------------------------------------
Item 8. Identification and Classification of Members of the Group.
N/A
----------------------------------------------------------------------
Item 9. Notice of Dissolution of Group.
N/A
-----------------------------------------------------------------------
Item 10. Certifications.
By signing below, each Reporting Person certifies that, to the best of
its knowledge and belief, the securities referred to above were not acquired and
are not held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and are not
held in connection with or as a participant in any transaction having that
purpose or effect, other than activities solely in connection with a nomination
under Section 240.14a-11.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
/s/ Brian Taylor
---------------------
Brian Taylor
PINE RIVER CAPITAL MANAGEMENT L.P.
By: Pine River Capital Management LLC, its general partner
/s/ Brian Taylor
---------------------
By: Brian Taylor
Title: Manager and President
Date: February 5, 2016
EXHIBIT A
AGREEMENT
The undersigned agree that this Schedule 13G dated February 5, 2016 relating
to the Class A Common Stock, $0.01 Par Value of Fifth Street Asset Management
Inc. shall be filed on behalf of the undersigned.
/s/ Brian Taylor
---------------------
Brian Taylor
PINE RIVER CAPITAL MANAGEMENT L.P.
By: Pine River Capital Management LLC, its general partner
/s/ Brian Taylor
---------------------
By: Brian Taylor
Title: Manager and President