SEC Form 4 · accession 0001144204-16-088975
Fifth Street Asset Management Inc. · FSAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas L Harrison
Director
Period of report
Mar 14, 2016
Accepted (ET)
Mar 18, 2016 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001611988
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F1 | $3.28 | Mar 14, 2016 | A | 20,000 | A | — | Mar 14, 2021 | Class A Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1The option will vest, in full, on the earlier to occur of the one-year anniversary of the date of grant and the date that is immediately prior to the first annual meeting of the Issuer's stockholders occurring after the date of grant. The date of grant of the option was March 14, 2016.