Home > Insider Trading > Filing (0001414932-17-000018)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1414932	Fifth Street Finance Corp.	FSC	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1200461	M Leonard Tannenbaum	C/O Fifth Street (Fsc) 777 West Punam Avenue, 3Rd Floor Greenwich CT 06830		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-03-23	210,000	$4.66	210,000	No	4	P	Indirect	(1) - See below
Common Stock	Acquisiton	2017-03-24	222,101	$4.65	432,101	No	4	P	Indirect	(1) - See below
Common Stock	Acquisiton	2017-03-27	223,749	$4.69	655,850	No	4	P	Indirect	(1) - See below

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	(1) - See below
No	4	P	Indirect	(1) - See below
No	4	P	Indirect	(1) - See below

Footnotes

This transaction was executed in multiple trades at prices ranging from $4.64 to $4.67; 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.
Mr. Tannenbaum has previously disgorged to FSC profits realized in connection with purchases of an aggregate of 242,289 shares of FSC common stock occurring at prices less than or equal to $4.40 per share. Because the transactions reported herein occurred at prices greater than $4.40 per share, there are no additional recoverable profits subject to disgorgement to FSC.
This transaction was executed in multiple trades at prices ranging from $4.63 to $4.66; 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.
This transaction was executed in multiple trades at prices ranging from $4.63 to $4.71; 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.