0001144204-17-053088.txt : 20171018
0001144204-17-053088.hdr.sgml : 20171018
20171018210310
ACCESSION NUMBER: 0001144204-17-053088
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171016
FILED AS OF DATE: 20171018
DATE AS OF CHANGE: 20171018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Velgot James F
CENTRAL INDEX KEY: 0001661195
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36701
FILM NUMBER: 171143529
MAIL ADDRESS:
STREET 1: 777 WEST PUTNAM AVENUE, 3RD FLOOR
CITY: GREENWICH
STATE: CT
ZIP: 06830
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
4
1
tv477258_form4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-10-16
0
0001611988
Fifth Street Asset Management Inc.
FSAM
0001661195
Velgot James F
C/O FIFTH STREET (FSAM)
777 WEST PUTNAM AVENUE, 3RD FLOOR
GREENWICH
CT
06830
1
0
0
0
Class A Common Stock, $0.01 par value per share
2017-10-16
4
M
0
12393
A
16865
D
Holdings LP Interests
2017-10-16
4
M
0
12393
0
D
Class A Common Stock
12393
5496
D
On October 16, 2017, Mr. Velgot, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis.
Pursuant to the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock on a one-for-one basis, from and after the second anniversary of the closing of the Issuer's initial public offering. After such time, Mr. Velgot will be permitted to exchange the vested portion of his Holdings LP Interests, subject to certain conditions of call or forfeiture. The Holdings LP Interests vest monthly over eight years.
/s/ James F. Velgot
2017-10-18