SEC Form 4 · accession 0001214659-16-013493
Fifth Street Asset Management Inc. · FSAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nathaniel H. August
Director
Period of report
Aug 29, 2016
Accepted (ET)
Aug 31, 2016 · 11:39 am 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 StockF1 | Aug 29, 2016 | S | 25,000 | $5.15 | D | 435,408 | I | The Mangrove Partners Master Fund, Ltd. |
| Class A Common StockF1 | Aug 29, 2016 | S | 171,531 | $5.1149 | D | 263,877 | I | The Mangrove Partners Master Fund, Ltd. |
| Class A Common StockF1 | Aug 29, 2016 | S | 82,269 | $5.1149 | D | 181,608 | I | The Mangrove Partners Master Fund, Ltd. |
| Class A Common StockF1 | Aug 29, 2016 | S | 73,059 | $5.0984 | D | 108,549 | I | The Mangrove Partners Master Fund, Ltd. |
| Class A Common StockF1 | Aug 29, 2016 | S | 34,028 | $5.0984 | D | 74,521 | I | The Mangrove Partners Master Fund, Ltd. |
| Class A Common StockF1 | Aug 30, 2016 | S | 48,873 | $5.2842 | D | 25,648 | I | The Mangrove Partners Master Fund, Ltd. |
| Class A Common StockF1 | Aug 30, 2016 | S | 5,648 | $5.2842 | D | 20,000 | I | The Mangrove Partners Master Fund, Ltd. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares held directly by The Mangrove Partners Master Fund, Ltd. (the "Master Fund"). Nathaniel August, as the director of each of Mangrove Partners and Mangrove Capital, the investment manager and general partner of the controlling shareholder of the Master Fund, respectively, may be deemed to beneficially own the shares held directly by the Master Fund. Mr. August disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.