SEC Form 4 · accession 0001144204-17-002521
Fifth Street Asset Management Inc. · FSAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander C Frank
Officer — COO & CFO
Period of report
Jan 12, 2017
Accepted (ET)
Jan 17, 2017 · 7:22 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jan 12, 2017 | A | 76,336 | A | — | — | Class A Common Stock | 76,336 | 76,336 | D |
Explanation of responses
- F1Each restricted stock unit represents the contingent right to receive one share of Class A common stock of the Issuer. No later than 60 days following each vesting date, one share of Class A common stock of the Issuer shall be issued for each restricted stock unit that becomes vested on such vesting date.
- F2One-third of the total number of restricted stock units will vest on each of the first three anniversaries of the date of grant, which was January 12, 2017.