SEC Form 4/A · accession 0001144204-17-003659
Fifth Street Asset Management Inc. · FSAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Leonard M Tannenbaum
Officer — CEO · Director · 10% Owner
Period of report
Jan 12, 2017
Accepted (ET)
Jan 24, 2017 · 5:45 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 | 432,519 | A | — | — | Class A Common Stock | 432,519 | 432,519 | 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.
Remarks
This Form 4/A has been filed to correct the number of restricted stock units acquired by Mr. Tannenbaum, which were incorrectly reported in the original Form 4 due to a clerical error.