Berman Bernard D 4
4 · Fifth Street Asset Management Inc. · Filed Oct 19, 2017
Insider Transaction Report
Form 4
Berman Bernard D
DirectorCo-Pres. & Chief Compliance Of
Transactions
- Tax Payment
Class A Common Stock, $0.01 par value per share
2017-10-17$3.95/sh−41,954$165,718→ 1,396,297 total - Exercise/Conversion
Class A Common Stock, $0.01 par value per share
2017-10-17+97,863→ 1,438,251 total - Exercise/Conversion
Restricted Stock Units
2017-10-17−97,863→ 0 total→ Class A Common Stock (97,863 underlying)
Holdings
- 684,244(indirect: By Trust)
Class A Common Stock, $0.01 par value per share
Footnotes (2)
- [F1]On October 17, 2017, 97,863 restricted stock units ("RSUs") granted to Mr. Berman in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting.
- [F2]Represents securities held directly by the Bernard D. Berman 2012 Trust. Mr. Berman disclaims beneficial ownership except to the extent of his pecuniary interest therein.