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