0001144204-17-053084.txt : 20171018 0001144204-17-053084.hdr.sgml : 20171018 20171018210017 ACCESSION NUMBER: 0001144204-17-053084 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171003 FILED AS OF DATE: 20171018 DATE AS OF CHANGE: 20171018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRANK ALEXANDER C CENTRAL INDEX KEY: 0001226177 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36701 FILM NUMBER: 171143524 MAIL ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Fifth Street Asset Management Inc. CENTRAL INDEX KEY: 0001611988 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 465610118 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 777 WEST PUTNAM AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: (203) 992-4533 MAIL ADDRESS: STREET 1: 777 WEST PUTNAM AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 4 1 tv477254_4.xml OWNERSHIP DOCUMENT X0306 4 2017-10-03 0 0001611988 Fifth Street Asset Management Inc. FSAM 0001226177 FRANK ALEXANDER C C/O FIFTH STREET (FSAM) 777 WEST PUTNAM AVENUE, 3RD FLOOR GREENWICH CT 06830 1 0 0 0 Class A Common Stock, $0.01 par value per share 2017-10-03 4 M 0 52317 A 52317 D Class A Common Stock, $0.01 par value per share 2017-10-03 4 F 0 24457 3.90 D 27860 D Class A Common Stock, $0.01 par value per share 2017-10-16 4 M 0 72700 A 100560 D Restricted Stock Units 2017-10-03 4 M 0 52317 0 D Class A Common Stock 52317 0 D Holdings LP Interests 2017-10-16 4 M 0 72700 0 D Class A Common Stock 72700 32240 D Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units ("RSUs") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis. On October 16, 2017, Mr. Frank, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock on a one-for-one basis, from and after the second anniversary of the closing of the Issuer's initial public offering. After such time, Mr. Frank will be permitted to exchange the vested portion of his Holdings LP Interests, subject to certain conditions of call or forfeiture. /s/ Alexander C. Frank 2017-10-18