Berman Bernard D 4
4 · Fifth Street Asset Management Inc. · Filed Oct 30, 2017
Insider Transaction Report
Form 4
Berman Bernard D
DirectorCo-Pres. & Chief Compliance Of
Transactions
- Exercise/Conversion
Class A Common Stock, $0.01 par value per share
2017-10-26+70,591→ 1,466,888 total - Exercise/Conversion
Restricted Stock Units
2017-10-26−70,591→ 0 total→ Class A Common Stock (70,591 underlying) - Tax Payment
Class A Common Stock, $0.01 par value per share
2017-10-26$4.00/sh−30,263$121,052→ 1,436,625 total
Holdings
- 684,244(indirect: By Trust)
Class A Common Stock, $0.01 par value per share
Footnotes (2)
- [F1]On October 26, 2017, 70,591 restricted stock units ("RSUs) granted to Mr. Berman in October 2014 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.