Home > Insider Trading > Filing (0001144204-14-065060)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1611988	Fifth Street Asset Management Inc.	FSAM	Investment Advice (6282)	465610118

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1592097	M. Steven Noreika	C/O Fifth Street (Fsam) 777 West Putnam Avenue, 3Rd Floor Greenwich CT 06830	Chief Accounting Officer	No	Yes	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	2014-11-04	500	$17.00	500	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Holdings LP Interests	Disposition	2014-11-04	630	$0.00	630	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
4,620			No	4	J	Direct

Footnotes

Represents shares of Class A Common Stock purchased under the Issuer's Directed Share Program in connection with the Issuer's initial public offering.
Represents limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") held by Mr. Noreika. Such Holdings LP Interests vest monthly over eight years. 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, and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of the Issuer's Class A common stock on a one-for-one basis, from and after the the second anniversary of the closing of the Issuer's initial public offering. After such time, Mr. Noreika will be permitted to exchange the vested portion of his Holdings LP Interests, subject to certain conditions of call or forfeiture.
These Holdings LP Interests were purchased by the Issuer in connection with its initial public offering as part of the reorganization as described in the Registration Statement on Form S-1 (File No. 333-198613), as amended, filed by the Issuer with the U.S. Securities and Exchange Commission on September 8, 2014.