0001144204-17-003782.txt : 20170125
0001144204-17-003782.hdr.sgml : 20170125
20170125160958
ACCESSION NUMBER: 0001144204-17-003782
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: Dimitrov Ivelin M.
CENTRAL INDEX KEY: 0001506220
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36701
FILM NUMBER: 17546493
MAIL ADDRESS:
STREET 1: C/O FIFTH STREET FINANCE CORP.
STREET 2: 10 BANK STREET, SUITE 1210
CITY: WHITE PLAINS
STATE: NY
ZIP: 10606
5
1
v457497_5.xml
OWNERSHIP DOCUMENT
X0306
5
2016-12-31
1
0
0
0001611988
Fifth Street Asset Management Inc.
FSAM
0001506220
Dimitrov Ivelin M.
C/O FIFTH STREET (FSAM)
777 WEST PUTNAM AVENUE, 3RD FLOOR
GREENWICH
CT
06830
0
0
0
1
Former CIO
Holdings LP Interests
2016-09-27
5
A
0
365
3.65
A
Class A Common Stock
365
534085
D
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. Dimitrov 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.
/s/ Kerry S. Acocella, as attorney-in-fact for Ivelin M. Dimitrov
2017-01-25