SEC Form 4 · accession 0001144204-17-053290

Fifth Street Asset Management Inc. · FSAM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CEO · Director · 10% Owner

Period of report

Oct 17, 2017

Accepted (ET)

Oct 19, 2017 · 5:43 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001611988

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Class A Common Stock, $0.01 par value per share^F1	Oct 17, 2017	M	432,519	—	A	1,072,735	D
Class A Common Stock, $0.01 par value per share	Oct 17, 2017	F	144,959	$3.95	D	927,776	D
Class A Common Stock, $0.01 par value per share^F2	holding	—	—		—	8,714,348	I	By FSC CT II, Inc.
Class A Common Stock, $0.01 par value per share^F3	holding	—	—		—	762,023	I	By Tannenbaum Family 2012 Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1	—	Oct 17, 2017	M	432,519	D	—	—	Class A Common Stock	432,519	0	D

F1On October 17, 2017, 432,519 restricted stock units ("RSUs") granted to Mr. Tannenbaum in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting.
F2Represents securities held directly by FSC CT II, Inc., a Delaware corporation. Mr. Tannenbaum disclaims beneficial ownership except to the extent of his economic interest therein.
F3Represents securities held directly by the Tannenbaum Family 2012 Trust. Mr. Tannenbaum disclaims beneficial ownership except to the extent of his economic interest therein.