0001144204-17-002066.txt : 20170112 0001144204-17-002066.hdr.sgml : 20170112 20170112211747 ACCESSION NUMBER: 0001144204-17-002066 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170102 FILED AS OF DATE: 20170112 DATE AS OF CHANGE: 20170112 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: Dalton Patrick J CENTRAL INDEX KEY: 0001382492 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36701 FILM NUMBER: 17526255 MAIL ADDRESS: STREET 1: APOLLO INVESTMENT CORPORATION STREET 2: 9 WEST 57TH STREET, 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 3 1 v456861_form3.xml OWNERSHIP DOCUMENT X0206 3 2017-01-02 0 0001611988 Fifth Street Asset Management Inc. FSAM 0001382492 Dalton Patrick J C/O FIFTH STREET (FSAM) 777 WEST PUTNAM AVENUE, 3RD FLOOR GREENWICH CT 06830 0 1 0 0 Co-President Option (right to buy) 6.95 2022-01-03 Class A Common Stock 750000 D Option (right to buy) 6.95 2021-01-03 2023-01-03 Class A Common Stock 250000 D Restricted Stock Units Class A Common Stock 287770 D One-third of the shares subject to this option will vest on each of the first three anniversaries of the date of grant, which was January 3, 2017, subject to continued employment. One-fourth of the total number of restricted stock units will vest on each of the first four anniversaries of the date of grant, which was January 3, 2017, subject to continued employment. Each restricted stock unit represents the contingent right to receive one share of Class A common stock of the Issuer. No later than 60 days following each vesting date, one share of Class A common stock of the Issuer shall be issued for each restricted stock unit that becomes vested on such vesting date. /s/ Kerry S. Acocella, as attorney-in-fact for Patrick J. Dalton 2017-01-12 EX-99.1 2 v456861_ex99-1.htm POWER OF ATTORNEY

Exhibit 99.1

POWER OF ATTORNEY

I, Patrick J. Dalton, Co-President of Fifth Street Asset Management Inc. (the “Corporation”), hereby authorize and designate each of Bernard D. Berman and Kerry S. Acocella as my agent and attorney-in-fact, with full power of substitution to:

(1) prepare and sign on my behalf any Form 3, Form 4 or Form 5 under Section 16 of the Securities Exchange Act of 1934, as amended, and file the same with the Securities and Exchange Commission and each stock exchange on which the Corporation’s stock is listed;

(2) prepare and sign on my behalf any Form 144 Notice under the Securities Act of 1933, as amended, and file the same with the Securities and Exchange Commission; and

(3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Corporation assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended, or Section 5 of the Securities Act of 1933, as amended, or Rule 144 promulgated under such Act.

This Power of Attorney shall remain in effect until the undersigned is no longer required to file Forms 3, 4, 5 and 144 with respect to the undersigned’s holdings of and transactions in securities issued by the Corporation, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.

DATED:

1/3/2017

SIGNED:

/s/ Patrick J. Dalton