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