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