Filing Details

Accession Number:
0001209191-17-063657
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-12-04 18:34:55
Reporting Period:
2017-11-30
Accepted Time:
2017-12-04 18:34:55
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1611988 Fifth Street Asset Management Inc. FSAM () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1307979 W Michael Arthur C/O Fsam
777 W. Putnam Ave., 3Rd Fl
Greenwich CT 06830
Yes No No 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, $0.01 Par Value Per Share Acquisiton 2017-11-30 10,000 $3.37 10,000 No 4 M Direct
Class A Common Stock, $0.01 Par Value Per Share Disposition 2017-11-30 10,000 $4.08 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Option (right to buy) Disposition 2017-11-30 10,000 $0.00 10,000 $3.37
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2016-06-09 2021-04-11 No 4 M Direct
Footnotes
  1. This 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.