0001144204-17-025394.txt : 20170508 0001144204-17-025394.hdr.sgml : 20170508 20170508213148 ACCESSION NUMBER: 0001144204-17-025394 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170504 FILED AS OF DATE: 20170508 DATE AS OF CHANGE: 20170508 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Arthur Michael W CENTRAL INDEX KEY: 0001307979 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36701 FILM NUMBER: 17824215 MAIL ADDRESS: STREET 1: C/O EINSTEIN NOAH RESTAURANT GROUP, INC. STREET 2: 555 ZANG STREET, SUITE 300 CITY: LAKEWOOD STATE: CO ZIP: 80228 4 1 v466454_4.xml OWNERSHIP DOCUMENT X0306 4 2017-05-04 0 0001611988 Fifth Street Asset Management Inc. FSAM 0001307979 Arthur Michael W C/O FIFTH STREET (FSAM) 777 WEST PUTNAM AVENUE, 3RD FLOOR GREENWICH CT 06830 1 0 0 0 Option (right to buy) 4.60 2017-05-04 4 A 0 5000 0 A 2022-05-04 Class A Common Stock 5000 5000 D The option shall vest on the earlier to occur of the one-year anniversary of the grant date and the date that is immediately prior to the first annual meeting of the Company' stockholders occurring after the grant date. The date of grant of the option was May 4, 2017. /s/ Kerry S. Acocella, as attorney-in-fact for Michael W. Arthur 2017-05-08