0001209191-17-063657.txt : 20171204
0001209191-17-063657.hdr.sgml : 20171204
20171204183455
ACCESSION NUMBER: 0001209191-17-063657
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171130
FILED AS OF DATE: 20171204
DATE AS OF CHANGE: 20171204
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: 171238265
MAIL ADDRESS:
STREET 1: C/O EINSTEIN NOAH RESTAURANT GROUP, INC.
STREET 2: 555 ZANG STREET, SUITE 300
CITY: LAKEWOOD
STATE: CO
ZIP: 80228
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-11-30
0
0001611988
Fifth Street Asset Management Inc.
FSAM
0001307979
Arthur Michael W
C/O FSAM
777 W. PUTNAM AVE., 3RD FL
GREENWICH
CT
06830
1
0
0
0
Class A Common Stock, $0.01 par value per share
2017-11-30
4
M
0
10000
3.37
A
10000
D
Class A Common Stock, $0.01 par value per share
2017-11-30
4
S
0
10000
4.076
D
0
D
Option (right to buy)
3.37
2017-11-30
4
M
0
10000
0.00
D
2016-06-09
2021-04-11
Class A Common Stock
10000
0
D
This transaction was executed in multiple trades at prices ranging from $4.05 to $4.15; 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.
/s/ Michael W. Arthur
2017-12-03