Fifth Street Asset Management Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 38 rows, 38 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-11-30: Reporting owner HARRISON THOMAS L; Form 4/A; Security Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-30: Reporting owner Arthur Michael W; Form 4; Security Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-30: Reporting owner HARRISON THOMAS L; Form 4; Security Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-29: Reporting owner BRANDT THOMAS HOWARD; Form 4; Security Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-11-30 | HARRISON THOMAS L Director | 4/A | Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $3.28 exercise price | 2017-12-11 | |
| 2017-11-30 | Arthur Michael W Director | 4 | Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $3.37 exercise price | 2017-12-04 | |
| 2017-11-30 | HARRISON THOMAS L Director | 4 | Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $3.28 exercise price | 2017-12-04 | |
| 2017-11-29 | BRANDT THOMAS HOWARD Director | 4 | Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $3.60 exercise price | 2017-12-01 | |
| 2017-05-04 | BRANDT THOMAS HOWARD Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $4.60 exercise price | 2017-05-09 | |
| 2017-05-04 | Bond Jodi Hanson Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $4.60 exercise price | 2017-05-08 | |
| 2017-05-04 | Velgot James F Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $4.60 exercise price | 2017-05-08 | |
| 2017-05-04 | HARRISON THOMAS L Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $4.60 exercise price | 2017-05-08 | |
| 2017-05-04 | Arthur Michael W Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $4.60 exercise price | 2017-05-08 | |
| 2017-01-12 | Velgot James F Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $6.55 exercise price | 2017-01-17 | |
| 2017-01-12 holding as of filing | Dalton Patrick J Officer (Co-President) | 3 | Option (right to buy) Derivative · Direct | Holding | $6.95 exercise price | 2017-01-12 | ||
| 2017-01-12 holding as of filing | Dalton Patrick J Officer (Co-President) | 3 | Option (right to buy) Derivative · Direct | Holding | $6.95 exercise price | 2017-01-12 | ||
| 2017-01-03 | Dalton Patrick J Officer (Co-President) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +750,000 750,000 owned after | $6.95 exercise price | 2017-01-17 | |
| 2017-01-03 | Dalton Patrick J Officer (Co-President) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $6.95 exercise price | 2017-01-17 | |
| 2016-06-16 | AUGUST NATHANIEL H. Director, 10% Owner | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $4.28 exercise price | 2016-06-20 | |
| 2016-06-16 | BRANDT THOMAS HOWARD Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $4.28 exercise price | 2016-06-20 | |
| 2016-06-16 | HARRISON THOMAS L Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $4.28 exercise price | 2016-06-20 | |
| 2016-04-11 | Arthur Michael W Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.37 exercise price | 2016-04-13 | |
| 2016-03-14 | HARRISON THOMAS L Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $3.28 exercise price | 2016-03-18 | |
| 2015-12-17 holding as of filing | Velgot James F Director | 3 | Option (right to buy) Derivative · Direct | Holding | $18.70 exercise price | 2015-12-17 | ||
| 2015-12-14 | BRANDT THOMAS HOWARD Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.60 exercise price | 2015-12-16 | |
| 2015-06-04 | ANDERSON DAVID J Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $10.22 exercise price | 2015-06-08 | |
| 2015-06-04 | MEYER FRANK C Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $10.22 exercise price | 2015-06-08 | |
| 2015-06-04 | HARRISON THOMAS L Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $10.22 exercise price | 2015-06-08 | |
| 2015-06-04 | Gordon Mark Jeffrey Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $10.22 exercise price | 2015-06-08 | |
| 2015-06-04 | Cooper Wayne Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $10.22 exercise price | 2015-06-08 | |
| 2014-10-29 | TANNENBAUM LEONARD M Director, Officer (Chief Executive Officer), 10% Owner | 4 | Option (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,329,371 1,329,371 owned after | $18.70 exercise price | 2014-10-31 | |
| 2014-10-29 | Owens Todd Officer (Co-President) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,054,217 1,054,217 owned after | $18.70 exercise price | 2014-10-31 | |
| 2014-10-29 | Noreika Steven M. Officer (Chief Accounting Officer) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,928 27,928 owned after | $18.70 exercise price | 2014-10-31 | |
| 2014-10-29 | MEYER FRANK C Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $18.70 exercise price | 2014-10-31 | |
| 2014-10-29 | HARRISON THOMAS L Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $18.70 exercise price | 2014-10-31 | |
| 2014-10-29 | Harrison David H. Officer (Executive VP & Secretary) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,389 23,389 owned after | $18.70 exercise price | 2014-10-31 | |
| 2014-10-29 | Gordon Mark Jeffrey Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $18.70 exercise price | 2014-10-31 | |
| 2014-10-29 | FRANK ALEXANDER C Officer (COO & CFO) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +441,948 441,948 owned after | $18.70 exercise price | 2014-10-31 | |
| 2014-10-29 | Cooper Wayne Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $18.70 exercise price | 2014-10-31 | |
| 2014-10-29 | Berman Bernard D Director, Officer (Co-Pres. & Chief Compliance Of) | 4 | Option (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +384,631 384,631 owned after | $18.70 exercise price | 2014-10-31 | |
| 2014-10-29 | ANDERSON DAVID J Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $18.70 exercise price | 2014-10-31 | |
| 2014-10-29 | Dimitrov Ivelin M. Officer (Chief Investment Officer) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,054,217 1,054,217 owned after | $18.70 exercise price | 2014-10-31 |