SEC Form 4 · accession 0001209191-17-063657
Fifth Street Asset Management Inc. · FSAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael W Arthur
Director
Period of report
Nov 30, 2017
Accepted (ET)
Dec 4, 2017 · 6:34 pm 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 30, 2017 | M | 10,000 | $3.37 | A | 10,000 | D | |
| Class A Common Stock, $0.01 par value per shareF1 | Nov 30, 2017 | S | 10,000 | $4.076 | D | 0 | 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) | $3.37 | Nov 30, 2017 | M | 10,000 | D | Jun 9, 2016 | Apr 11, 2021 | Class A Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $4.05 to $4.15; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.