0001144204-17-003786.txt : 20170125 0001144204-17-003786.hdr.sgml : 20170125 20170125161138 ACCESSION NUMBER: 0001144204-17-003786 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170125 DATE AS OF CHANGE: 20170125 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36701 FILM NUMBER: 17546513 MAIL ADDRESS: STREET 1: WHITE PLAINS PLAZA STREET 2: 445 HAMILTON AVENUE, SUITE 1206 CITY: WHITE PLAINS STATE: NY ZIP: 10601 5 1 v457500_form5.xml OWNERSHIP DOCUMENT X0306 5 2016-12-31 0 0 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 Holdings LP Interests 2016-09-27 5 A 0 1202 12.02 A Class A Common Stock 1202 1759754 D Holdings LP Interests Class A Common Stock 907217 907217 I By Bernard D. Berman 2012 Trust Pursuant to the terms of the exchange agreement, dated as of November 4, 2014, by and among Fifth Street Asset Management Inc. (the "Issuer"), Fifth Street Holdings L.P. ("Holdings") and the limited partners of Holdings party thereto, and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock of the Issuer on a one-for-one basis. Mr. Berman is permitted to exchange up to 20% of the Holdings LP Interests that he owns and an additional 20% of his Holdings LP Interests on or after each of the next four anniversaries of the closing of the Issuer's initial public offering. Represents securities held directly by the Bernard D. Berman 2012 Trust. Mr. Berman disclaims pecuniary interest in the reported securities except to the extent of his economic interest therein. /s/ Kerry S. Acocella, as attorney-in-fact for Bernard D. Berman 2017-01-25