0001209191-17-063578.txt : 20171204 0001209191-17-063578.hdr.sgml : 20171204 20171204164249 ACCESSION NUMBER: 0001209191-17-063578 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171130 FILED AS OF DATE: 20171204 DATE AS OF CHANGE: 20171204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARRISON THOMAS L CENTRAL INDEX KEY: 0001247340 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36701 FILM NUMBER: 171237549 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 doc4.xml FORM 4 SUBMISSION X0306 4 2017-11-30 0 0001611988 Fifth Street Asset Management Inc. FSAM 0001247340 HARRISON THOMAS L C/O FSAM 777 W. PUTNAM AVE, 3RD FL. GREENWICH CT 06830 1 0 0 0 Class A Common Stock, $0.01 par value per share 2017-11-30 4 M 0 20000 3.28 A 20000 D Class A Common Stock, $0.01 par value per share 2017-11-30 4 S 0 20000 4.0689 D 0 D Option (right to buy) 3.28 2017-11-30 4 M 0 20000 0.00 D 2016-06-09 2021-03-14 Class A Common Stock 20000 0 D 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. /s/ Thomas L. Harrison 2017-12-03