13G Filing: Mangrove Partners and Fifth Street Asset Management Inc. (FSAM)

Page 9 of 12

Page 9 of 12 SEC Filing

Item 3.
If this Statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a)
o
Broker or dealer registered under Section 15 of the Act;
(b)
o
Bank as defined in Section 3(a)(6) of the Act;
(c)
o
Insurance company as defined in Section 3(a)(19) of the Act;
(d)
o
Investment company registered under Section 8 of the Investment Company Act of 1940;
(e)
o
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
(f)
o
An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
(g)
o
A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
(h)
o
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)
o
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940;
(j)
o
A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
(k)
o
Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:      
Item 4.
Ownership.
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
     
As of Jan 7 2015
As of Dec 31 2015
As of Jan 15 2016
 
(a)
Amount Beneficially Owned:
309,226
500,207
696,738
 
(b)
Percent of Class:
5.15%
8.65%
12.05%
 
(c)
Number of shares as to which such person has:
 
 
 
(i)
sole power to vote or to direct the vote:
0
0
0
 
 
(ii)
shared power to vote or to direct the vote:
309,226
500,207
696,738
 
 
(iii)
sole power to dispose or to direct the disposition of:
0
0
0
 
 
(iv)
shared power to dispose or to direct the disposition of:
309,226
500,207
696,738

Follow Fifth Street Asset Management Inc. (NASDAQ:FSAM)

Page 9 of 12