SEC Form 4 · accession 0001209191-17-063138
Fifth Street Asset Management Inc. · FSAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Howard Brandt
Director
Period of report
Nov 29, 2017
Accepted (ET)
Dec 1, 2017 · 9:11 am EST
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 | Nov 29, 2017 | M | 10,000 | $3.60 | A | 10,000 | D | |
| Class A Common Stock, $0.01 par value per share | Nov 29, 2017 | S | 3,100 | $4.12 | D | 6,900 | D | |
| Class A Common Stock, $0.01 par value per share | Nov 29, 2017 | S | 5,805 | $4.08 | D | 1,095 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy) | $3.60 | Nov 29, 2017 | M | 10,000 | D | Jun 9, 2016 | Dec 14, 2020 | Class A Common Stock | 10,000 | 0 | D |