Filing Details
- Accession Number:
- 0001209191-17-065002
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2017-12-11 16:31:09
- Reporting Period:
- 2017-11-30
- Accepted Time:
- 2017-12-11 16:31:09
- Original Submission Date:
- 2017-12-04
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1611988 | Fifth Street Asset Management Inc. | FSAM | () | 4/A |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1247340 | L Thomas Harrison | 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 | 20,000 | $3.28 | 26,000 | No | 4 | M | Direct | |
| Class A Common Stock, $0.01 Par Value Per Share | Disposition | 2017-11-30 | 20,000 | $4.07 | 6,000 | 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 | 20,000 | $0.00 | 20,000 | $3.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-06-09 | 2021-03-14 | No | 4 | M | Direct |
Footnotes
- 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.
Billionaire Hedge Funds
