SEC Form 5 · accession 0001144204-17-003782
Fifth Street Asset Management Inc. · FSAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ivelin M. Dimitrov
Other
Period of report
Dec 31, 2016
Accepted (ET)
Jan 25, 2017 · 4:09 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Holdings LP InterestsF1 | — | Sep 27, 2016 | A | 365 | A | — | — | Class A Common Stock | 365 | 534,085 | D |
Explanation of responses
- F1Pursuant 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.