SEC Form 4 · accession 0001144204-17-054851
Fifth Street Asset Management Inc. · FSAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Bernard D Berman
Officer — President and CCO · 10% Owner
Period of report
Oct 26, 2017
Accepted (ET)
Oct 30, 2017 · 4:56 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 shareF1 | Oct 26, 2017 | M | 70,591 | — | A | 1,466,888 | D | |
| Class A Common Stock, $0.01 par value per share | Oct 26, 2017 | F | 30,263 | $4.00 | D | 1,436,625 | D | |
| Class A Common Stock, $0.01 par value per shareF2 | holding | — | — | — | 684,244 | I | By Bernard D. Berman 2012 Trust |
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 | — | Oct 26, 2017 | M | 70,591 | D | — | — | Class A Common Stock | 70,591 | 0 | D |
Explanation of responses
- F1On October 26, 2017, 70,591 restricted stock units ("RSUs) granted to Mr. Berman in October 2014 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 the Bernard D. Berman 2012 Trust. Mr. Berman disclaims beneficial ownership except to the extent of his pecuniary interest therein.