Filing Details

Accession Number:
0001140361-16-054665
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-02-24 16:05:06
Reporting Period:
2016-02-22
Filing Date:
2016-02-24
Accepted Time:
2016-02-24 16:05:06
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1611988 Fifth Street Asset Management Inc. FSAM () DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1079114 Greenlight Capital Inc 140 East 45Th Street
24Th Floor
New York NY 10017
No No Yes No
1240451 David Einhorn 140 East 45Th Street
Floor 24
New York NY 10017
No No Yes No
1300763 Dme Advisors, Lp 140 East 45Th Street
24Th Floor
New York NY 10017
No No Yes No
1358081 Dme Advisors Gp, L.l.c. 140 East 45Th Street
24Th Floor
New York NY 10017
No No Yes No
1489933 Dme Capital Management, Lp 140 East 45Th Street
24Th Floor
New York NY 10017
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock, Par Value $0.01 Per Share Disposition 2016-02-22 9,300 $3.41 12,800 No 4 S Indirect See Footnote
Class A Common Stock, Par Value $0.01 Per Share Disposition 2016-02-22 53,600 $3.41 73,186 No 4 S Indirect See Footnote
Class A Common Stock, Par Value $0.01 Per Share Disposition 2016-02-22 26,600 $3.41 36,300 No 4 S Indirect See Footnote
Class A Common Stock, Par Value $0.01 Per Share Disposition 2016-02-22 98,100 $3.41 134,000 No 4 S Indirect See Footnote
Class A Common Stock, Par Value $0.01 Per Share Disposition 2016-02-22 26,600 $3.41 36,400 No 4 S Indirect See Footnote
Class A Common Stock, Par Value $0.01 Per Share Disposition 2016-02-22 35,800 $3.41 49,000 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
Footnotes
  1. David Einhorn is the president of Greenlight Capital, Inc. ("Greenlight Inc.") and the senior manager of DME Advisors GP, LLC ("DME GP"). DME GP is the general partner of DME Advisors, LP ("DME") and DME Capital Management, LP ("DME CM"). Mr. Einhorn may be deemed to beneficially own the securities reported herein by virtue of his positions with respect to Greenlight Inc. and DME GP.
  2. The foregoing entities control the disposition and voting of shares of Class A Common Stock ("Shares") of Fifth Street Asset Management Inc. (the "Issuer"), owned by the following entities: Greenlight Capital, L.P. ("Greenlight Fund"), Greenlight Capital Qualified, L.P. ("Greenlight Qualified"), Greenlight Capital Offshore Partners ("Greenlight Offshore"), Greenlight Capital (Gold), LP ("Greenlight Gold"), Greenlight Capital Offshore Master (Gold), Ltd. ("Greenlight Gold Offshore"), and an account managed by DME (the "Managed Account," and, together with Greenlight Fund, Greenlight Qualified, Greenlight Offshore, Greenlight Gold, Greenlight Gold Offshore, Greenlight Inc., DME GP, DME, DME CM and Mr. Einhorn, the "Greenlight Parties"), in the respective capacities and quantities further described in the footnotes below.
  3. Pursuant to Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), the Greenlight Parties disclaim beneficial ownership of the Shares except to the extent of their respective pecuniary interests therein. The filing of this Form 4 shall not be construed as an admission that any of the Greenlight Parties is or was for the purposes of Section 16(a) of the Act, or otherwise, the beneficial owner of any of the Shares owned by Greenlight Fund, Greenlight Qualified, Greenlight Offshore, Greenlight Gold, Greenlight Gold Offshore or the Managed Account.
  4. Greenlight Inc. controls the voting and disposition of 12,800 Shares held for the account of Greenlight Fund, of which Greenlight Inc. acts as investment manager.
  5. Greenlight Inc. controls the voting and disposition of 73,186 Shares held for the account of Greenlight Qualified, of which Greenlight Inc. acts as investment manager.
  6. DME CM controls the voting and disposition of 36,300 Shares held for the account of Greenlight Gold, of which DME MC acts as investment manager.
  7. Greenlight Inc. controls the voting and disposition of 134,000 Shares held for the account of Greenlight Offshore, of which Greenlight Inc. acts as investment manager.
  8. DME CM controls the voting and disposition of 36,400 shares held for the account of Greenlight Gold Offshore, of which DME MC acts as investment manager.
  9. DME controls the voting and disposition of 49,000 Shares held for the account of the Managed Account, for which DME serves as the investment manager.