Company · CIK 0001611988 · SIC 6282 — Investment Advice
Fifth Street Asset Management Inc. · FSAM
Insider activity reported against this company. All insider holders · Files at: OCSI, OCSL. On EDGAR ↗
Reported at this company — common stock
| Trade | Reported (ET) | Insider | Shares | Avg price | Total | Owned after | Δ stake | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 8, 2017 SForm 4 → | Dec 11, 4:32 pm EST | Thomas L HarrisonDirector | 6,000 | $4.05 | $24,300 | 0 | −100% | plan? |
| Nov 30, 2017 SForm 4/A → | Dec 11, 4:31 pm EST | Thomas L HarrisonDirector | 20,000 | $4.07 | $81,378 | 6,000 | −76.9% | plan? |
| Nov 30, 2017 MForm 4/A → | Dec 11, 4:31 pm EST | Thomas L HarrisonDirector | 20,000 | $3.28 | $65,600 | 26,000 | — | plan? |
| Nov 30, 2017 SForm 4 → | Dec 4, 6:34 pm EST | Michael W ArthurDirector | 10,000 | $4.08 | $40,760 | 0 | −100% | plan? |
| Nov 30, 2017 MForm 4 → | Dec 4, 6:34 pm EST | Michael W ArthurDirector | 10,000 | $3.37 | $33,700 | 10,000 | — | plan? |
| Nov 30, 2017 SForm 4 → | Dec 4, 4:42 pm EST | Thomas L HarrisonDirector | 20,000 | $4.07 | $81,378 | 0 | −100% | plan? amended |
| Nov 30, 2017 MForm 4 → | Dec 4, 4:42 pm EST | Thomas L HarrisonDirector | 20,000 | $3.28 | $65,600 | 20,000 | — | plan? amended |
| Nov 29, 2017 SForm 4 → | Dec 1, 9:11 am EST | Thomas Howard BrandtDirector | 8,905 | $4.09 | $36,456 | 1,095 | −89.0% | plan? |
| Nov 29, 2017 MForm 4 → | Dec 1, 9:11 am EST | Thomas Howard BrandtDirector | 10,000 | $3.60 | $36,000 | 10,000 | — | plan? |
| Oct 26, 2017 FForm 4/A → | Nov 2, 4:20 pm EDT | Bernard D BermanPresident and CCO, 10% Owner | 26,098 | $4.00 | $104,392 | 1,446,564 | — | plan? |
| Oct 26, 2017 FForm 4/A → | Nov 2, 4:19 pm EDT | Bernard D BermanPresident and CCO, 10% Owner | 36,180 | $4.00 | $144,720 | 1,402,071 | — | plan? |
| Oct 26, 2017 FMForm 4 → | Oct 30, 4:56 pm EDT | Bernard D BermanPresident and CCO, 10% Owner | 100,854 | $4.00 | $121,052 | 1,436,625 | — | plan? amended |
| Oct 26, 2017 FMForm 4 → | Oct 30, 4:55 pm EDT | Leonard M TannenbaumCEO, Director, 10% Owner | 346,329 | $4.00 | $409,400 | 1,069,405 | — | plan? |
| Oct 17, 2017 FMForm 4 → | Oct 19, 5:44 pm EDT | Bernard D BermanPresident and CCO | 139,817 | $3.95 | $165,718 | 1,396,297 | — | plan? amended |
| Oct 17, 2017 FMForm 4 → | Oct 19, 5:43 pm EDT | Leonard M TannenbaumCEO, Director, 10% Owner | 577,478 | $3.95 | $572,588 | 927,776 | — | plan? |
| Oct 17, 2017 FMForm 4 → | Oct 19, 5:42 pm EDT | Alexander C FrankDirector | 112,051 | $3.95 | $140,956 | 141,241 | — | plan? |
| Oct 16, 2017 DMForm 4 → | Oct 18, 9:13 pm EDT | Bernard D BermanPresident and CCO | 2,982,958 | — | — | 641,137 | — | plan? |
| Oct 16, 2017 MForm 4 → | Oct 18, 9:03 pm EDT | James F VelgotDirector | 12,393 | — | — | 16,865 | — | plan? |
| Oct 16, 2017 DMForm 4 → | Oct 18, 9:01 pm EDT | Leonard M TannenbaumCEO, Director, 10% Owner | 4,156,674 | — | — | 30,074,531 | — | plan? |
| Oct 3, 2017 FMForm 4 → | Oct 18, 9:00 pm EDT | Alexander C FrankDirector | 149,474 | $3.90 | $95,382 | 100,560 | — | plan? late |
| Jan 4, 2017 CDForm 4 → | Jan 6, 6:36 pm EST | Bernard D BermanCo-President and CCO | 1,066,306 | — | — | 2,132,616 | — | plan? |
| Jan 4, 2017 CDForm 4 → | Jan 6, 6:35 pm EST | Leonard M TannenbaumCEO, Director, 10% Owner | 16,076,434 | — | — | 32,152,868 | — | plan? |
| Jan 4, 2017 CForm 4 → | Jan 6, 6:34 pm EST | James F VelgotDirector | 4,472 | — | — | 4,472 | — | plan? |
| Aug 29, 2016 SForm 4 → | Aug 31, 11:39 am EDT | Nathaniel H. AugustDirector | 440,408 | $5.13 | $2,260,984 | 20,000 | −95.7% | plan? |
| Aug 25, 2016 SForm 4 → | Aug 29, 2:19 pm EDT | Mangrove Partners Master Fund, Ltd. +510% Owner | 215,478 | $5.07 | $1,092,466 | 460,408 | −31.9% | plan? |
| Aug 24, 2016 SForm 4 → | Aug 25, 9:07 am EDT | Mangrove Partners Master Fund, Ltd. +510% Owner | 17,232 | $5.12 | $88,207 | 675,886 | −2.49% | plan? |
| Aug 22, 2016 SForm 4 → | Aug 23, 1:33 pm EDT | Mangrove Partners Master Fund, Ltd. +510% Owner | 3,620 | $5.01 | $18,122 | 693,118 | −0.52% | plan? |
| Feb 22, 2016 SForm 4 → | Feb 24, 4:05 pm EST | David Einhorn +410% Owner | 250,000 | $3.41 | $852,050 | 49,000 | −83.6% | plan? |
| Jan 15, 2016 PForm 4 → | Jan 20, 4:54 pm EST | Mangrove Partners Master Fund, Ltd. +510% Owner | 196,531 | $2.44 | $479,536 | 696,738 | +39.3% | plan? |
| Sep 3, 2015 PForm 4 → | Sep 8, 8:18 am EDT | Mark Jeffrey GordonDirector | 2,000 | $7.98 | $15,965 | 9,000 | +28.6% | plan? |
| May 21, 2015 PForm 4 → | May 22, 3:59 pm EDT | Mark Jeffrey GordonDirector | 2,000 | $9.48 | $18,961 | 7,000 | +40.0% | plan? |
| Mar 5, 2015 SForm 4 → | Mar 9, 9:50 am EDT | Philadelphia Financial Management of San Francisco, LLC +210% Owner | 17,086 | $12.29 | $210,060 | 78,109 | −17.9% | plan? |
Reported at this company — derivatives (options, RSUs, warrants)
| Trade | Reported (ET) | Insider | Shares | Avg price | Total | Owned after | Δ stake | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 30, 2017 MForm 4/A → | Dec 11, 4:31 pm EST | Thomas L HarrisonDirector | 20,000 | — | — | 0 | — | |
| Nov 30, 2017 MForm 4 → | Dec 4, 6:34 pm EST | Michael W ArthurDirector | 10,000 | — | — | 0 | — | |
| Nov 30, 2017 MForm 4 → | Dec 4, 4:42 pm EST | Thomas L HarrisonDirector | 20,000 | — | — | 0 | — | amended |
| Nov 29, 2017 MForm 4 → | Dec 1, 9:11 am EST | Thomas Howard BrandtDirector | 10,000 | — | — | 0 | — | |
| Oct 26, 2017 MForm 4 → | Oct 30, 4:56 pm EDT | Bernard D BermanPresident and CCO, 10% Owner | 70,591 | — | — | 0 | — | amended |
| Oct 26, 2017 MForm 4 → | Oct 30, 4:55 pm EDT | Leonard M TannenbaumCEO, Director, 10% Owner | 243,979 | — | — | 0 | — | |
| Oct 17, 2017 MForm 4 → | Oct 19, 5:44 pm EDT | Bernard D BermanPresident and CCO | 97,863 | — | — | 0 | — | amended |
| Oct 17, 2017 MForm 4 → | Oct 19, 5:43 pm EDT | Leonard M TannenbaumCEO, Director, 10% Owner | 432,519 | — | — | 0 | — | |
| Oct 17, 2017 MForm 4 → | Oct 19, 5:42 pm EDT | Alexander C FrankDirector | 76,366 | — | — | 0 | — | |
| Oct 16, 2017 MForm 4 → | Oct 18, 9:13 pm EDT | Bernard D BermanPresident and CCO | 1,491,479 | — | — | 222,973 | — | |
| Oct 16, 2017 MForm 4 → | Oct 18, 9:03 pm EDT | James F VelgotDirector | 12,393 | — | — | 5,496 | — | |
| Oct 16, 2017 MForm 4 → | Oct 18, 9:01 pm EDT | Leonard M TannenbaumCEO, Director, 10% Owner | 2,078,337 | — | — | 24,465,706 | — | |
| Oct 3, 2017 MForm 4 → | Oct 18, 9:00 pm EDT | Alexander C FrankDirector | 125,017 | — | — | 32,240 | — | late |
| May 4, 2017 AForm 4 → | May 9, 6:34 pm EDT | Thomas Howard BrandtDirector | 5,000 | — | — | 5,000 | — | late |
| May 4, 2017 AForm 4 → | May 8, 9:33 pm EDT | Jodi Hanson BondDirector | 10,000 | — | — | 10,000 | — | |
| May 4, 2017 AForm 4 → | May 8, 9:33 pm EDT | James F VelgotDirector | 5,000 | — | — | 5,000 | — | |
| May 4, 2017 AForm 4 → | May 8, 9:32 pm EDT | Thomas L HarrisonDirector | 5,000 | — | — | 5,000 | — | |
| May 4, 2017 AForm 4 → | May 8, 9:31 pm EDT | Michael W ArthurDirector | 5,000 | — | — | 5,000 | — | |
| Jan 12, 2017 AForm 4/A → | Jan 24, 5:45 pm EST | Leonard M TannenbaumCEO, Director, 10% Owner | 432,519 | — | — | 432,519 | — | |
| Jan 12, 2017 AForm 4 → | Jan 17, 7:22 pm EST | Alexander C FrankCOO & CFO | 76,336 | — | — | 76,336 | — | |
| Jan 12, 2017 AForm 4 → | Jan 17, 7:21 pm EST | Bernard D BermanCo-President and CCO | 97,863 | — | — | 97,863 | — | |
| Jan 12, 2017 AForm 4 → | Jan 17, 7:20 pm EST | Leonard M TannenbaumCEO, Director, 10% Owner | 447,786 | — | — | 447,786 | — | amended |
| Jan 12, 2017 AForm 4 → | Jan 17, 5:11 pm EST | James F VelgotDirector | 10,000 | — | — | 10,000 | — | |
| Jan 4, 2017 CForm 4 → | Jan 6, 6:36 pm EST | Bernard D BermanCo-President and CCO | 533,153 | — | — | 725,774 | — | |
| Jan 4, 2017 CForm 4 → | Jan 6, 6:35 pm EST | Leonard M TannenbaumCEO, Director, 10% Owner | 8,038,217 | — | — | 3,048,092 | — | |
| Jan 4, 2017 CForm 4 → | Jan 6, 6:34 pm EST | James F VelgotDirector | 4,472 | — | — | 17,889 | — | |
| Jan 3, 2017 AForm 4 → | Jan 17, 7:22 pm EST | Patrick J DaltonCo-President | 1,287,770 | — | — | 287,770 | — | late |
| Sep 27, 2016 AForm 5 → | Jan 25, 2017, 4:13 pm EST | Leonard M TannenbaumCEO, Director, 10% Owner | 2,187 | $21.87 | $47,830 | 3,203,103 | — | |
| Sep 27, 2016 AForm 5 → | Jan 25, 2017, 4:11 pm EST | Bernard D BermanCo-President and CCO | 1,202 | $12.02 | $14,448 | 1,759,754 | — | |
| Sep 27, 2016 AForm 5 → | Jan 25, 2017, 4:09 pm EST | Ivelin M. DimitrovOther | 365 | $3.65 | $1,332 | 534,085 | — | |
| Jun 16, 2016 AForm 4 → | Jun 20, 5:43 pm EDT | Michael W ArthurDirector | 5,000 | — | — | 5,000 | — | |
| Jun 16, 2016 AForm 4 → | Jun 20, 5:38 pm EDT | Nathaniel H. AugustDirector, 10% Owner | 5,000 | — | — | 5,000 | — | |
| Jun 16, 2016 AForm 4 → | Jun 20, 5:33 pm EDT | Thomas Howard BrandtDirector | 5,000 | — | — | 5,000 | — | |
| Jun 16, 2016 AForm 4 → | Jun 20, 5:30 pm EDT | Thomas L HarrisonDirector | 5,000 | — | — | 5,000 | — | |
| Apr 11, 2016 AForm 4 → | Apr 13, 5:24 pm EDT | Michael W ArthurDirector | 10,000 | — | — | 10,000 | — | |
| Mar 14, 2016 AForm 4 → | Mar 18, 5:28 pm EDT | Thomas L HarrisonDirector | 20,000 | — | — | 20,000 | — | late |
| Dec 14, 2015 AForm 4 → | Dec 16, 6:46 pm EST | Thomas Howard BrandtDirector | 10,000 | — | — | 10,000 | — | |
| Jun 4, 2015 AForm 4 → | Jun 8, 2:53 pm EDT | David J AndersonDirector | 5,000 | — | — | 5,000 | — | |
| Jun 4, 2015 AForm 4 → | Jun 8, 2:53 pm EDT | Frank C MeyerDirector | 5,000 | — | — | 5,000 | — | |
| Jun 4, 2015 AForm 4 → | Jun 8, 2:52 pm EDT | Thomas L HarrisonDirector | 5,000 | — | — | 5,000 | — | |
| Jun 4, 2015 AForm 4 → | Jun 8, 2:52 pm EDT | Mark Jeffrey GordonDirector | 5,000 | — | — | 5,000 | — | |
| Jun 4, 2015 AForm 4 → | Jun 8, 2:51 pm EDT | Wayne CooperDirector | 5,000 | — | — | 5,000 | — |
Filed by this entity as an insider elsewhere — common stock
No reported common-stock activity in this period.
Filed by this entity as an insider elsewhere — derivatives (options, RSUs, warrants)
No reported derivative activity in this period.