0001144204-17-002522.txt : 20170117
0001144204-17-002522.hdr.sgml : 20170117
20170117192250
ACCESSION NUMBER: 0001144204-17-002522
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170103
FILED AS OF DATE: 20170117
DATE AS OF CHANGE: 20170117
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36701
FILM NUMBER: 17531835
MAIL ADDRESS:
STREET 1: APOLLO INVESTMENT CORPORATION
STREET 2: 9 WEST 57TH STREET, 14TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
4
1
v457060_form4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-01-03
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
2017-01-03
4
A
0
750000
0
A
2022-01-02
Class A Common Stock
750000
750000
D
Option (right to buy)
6.95
2017-01-03
4
A
0
250000
0
A
2021-01-02
2023-01-02
Class A Common Stock
250000
250000
D
Restricted Stock Units
2017-01-03
4
A
0
287770
0
A
Class A Common Stock
287770
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.
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.
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.
/s/ Kerry S. Acocella, as attorney-in-fact for Patrick J. Dalton
2017-01-17