0001144204-17-002520.txt : 20170117 0001144204-17-002520.hdr.sgml : 20170116 20170117192136 ACCESSION NUMBER: 0001144204-17-002520 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170112 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: Berman Bernard D CENTRAL INDEX KEY: 0001421840 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36701 FILM NUMBER: 17531828 MAIL ADDRESS: STREET 1: WHITE PLAINS PLAZA STREET 2: 445 HAMILTON AVENUE, SUITE 1206 CITY: WHITE PLAINS STATE: NY ZIP: 10601 4 1 v457052_form4.xml OWNERSHIP DOCUMENT X0306 4 2017-01-12 0 0001611988 Fifth Street Asset Management Inc. FSAM 0001421840 Berman Bernard D C/O FIFTH STREET (FSAM) 777 WEST PUTNAM AVENUE, 3RD FLOOR GREENWICH CT 06830 0 1 0 0 Co-President and CCO Restricted Stock Units 2017-01-12 4 A 0 97863 0 A Class A Common Stock 97863 97863 D 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-third of the total number of restricted stock units will vest on each of the first three anniversaries of the date of grant, which was January 12, 2017. /s/ Kerry S. Acocella, as attorney-in-fact for Bernard M. Berman 2017-01-17