Insider · CIK 0001421840

Berman Bernard D

Reports to the SEC for 4 companies · WHITE PLAINS, NY

sec.gov

Transactions

Companies

Filings

CIK

0001421840

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2022-04-28	AFC BDC Inc.J Other	Director, President and Chairman	JOther	+25K sh	$20.00	+$500K	25,000
2017-10-26	Fifth Street Asset Management Inc.F Tax Payment	President and CCO, 10% Owner	FTax Payment	−26.1K sh	$4.00	−$104K	1,446,564
2017-10-26	Fifth Street Asset Management Inc.Restricted Stock UnitsM Exercise/Conversion	President and CCO, 10% Owner	MExercise/Conversion	−70.6K sh	—	—	0
2017-10-26	Fifth Street Asset Management Inc.F Tax Payment	President and CCO, 10% Owner	FTax Payment	−30.3K sh	$4.00	−$121K	1,436,625
2017-10-26	Fifth Street Asset Management Inc.M Exercise/Conversion	President and CCO, 10% Owner	MExercise/Conversion	+70.6K sh	—	—	1,466,888
2017-10-26	Fifth Street Asset Management Inc.F Tax Payment	President and CCO, 10% Owner	FTax Payment	−36.2K sh	$4.00	−$145K	1,402,071
2017-10-17	Fifth Street Asset Management Inc.M Exercise/Conversion	President and CCO, 10% Owner	MExercise/Conversion	+97.9K sh	—	—	1,438,251
2017-10-17	Fifth Street Asset Management Inc.Restricted Stock UnitsM Exercise/Conversion	President and CCO, 10% Owner	MExercise/Conversion	−97.9K sh	—	—	0
2017-10-17	Fifth Street Asset Management Inc.F Tax Payment	President and CCO, 10% Owner	FTax Payment	−42K sh	$3.95	−$166K	1,396,297
2017-10-16	Fifth Street Asset Management Inc.M Exercise/Conversion	President and CCO, 10% Owner	MExercise/Conversion	+989K sh	—	—	1,340,388
2017-10-16	Fifth Street Asset Management Inc.Holdings LP InterestsM Exercise/Conversion	President and CCO, 10% Owner	MExercise/Conversion	−989K sh	—	—	438,441
2017-10-16	Fifth Street Asset Management Inc.Holdings LP InterestsM Exercise/Conversion	President and CCO, 10% Owner	MExercise/Conversion	−503K sh	—	—	222,973
2017-10-16	Fifth Street Asset Management Inc.M Exercise/Conversion	President and CCO, 10% Owner	MExercise/Conversion	+503K sh	—	—	684,244
2017-10-16	Fifth Street Asset Management Inc.D Disposition to Issuer	President and CCO, 10% Owner	DDisposition to Issuer	+1.49M sh	—	—	641,137
2017-09-29	Oaktree Strategic Income CorpS Sale	Director, Chief Executive Officer	SSale	−7,473 sh	$8.80	−$65.8K	92,027
2017-09-29	OCSLOaktree Specialty Lending CorpS Sale	Director, Chief Executive Officer	SSale	−20K sh	$5.43	−$109K	35,968
2017-03-17	OCSLOaktree Specialty Lending CorpP Purchase	Director, Chief Executive Officer	PPurchase	+5,000 sh	$4.55	+$22.8K	55,968
2017-03-10	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+2,500 sh	$8.84	+$22.1K	99,500
2017-03-09	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+2,500 sh	$8.70	+$21.7K	97,000
2017-03-06	OCSLOaktree Specialty Lending CorpP Purchase	Director, Chief Executive Officer	PPurchase	+5,000 sh	$4.35	+$21.7K	50,968
2017-03-03	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+200 sh	$8.87	+$1,774	93,700
2017-03-03	OCSLOaktree Specialty Lending CorpP Purchase	Director, Chief Executive Officer	PPurchase	+5,000 sh	$4.38	+$21.9K	40,968
2017-03-03	OCSLOaktree Specialty Lending CorpP Purchase	Director, Chief Executive Officer	PPurchase	+5,000 sh	$4.39	+$21.9K	45,968
2017-03-03	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+100 sh	$8.85	+$885	93,800
2017-03-03	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+100 sh	$8.86	+$886	93,900
2017-03-03	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+600 sh	$9.02	+$5,411.04	94,500
2017-02-10	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+245 sh	$8.87	+$2,173.15	89,045
2017-02-10	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+4,455 sh	$8.88	+$39.6K	93,500
2017-02-10	OCSLOaktree Specialty Lending CorpP Purchase	Director, Chief Executive Officer	PPurchase	+5,000 sh	$4.65	+$23.2K	30,968
2017-02-10	OCSLOaktree Specialty Lending CorpP Purchase	Director, Chief Executive Officer	PPurchase	+5,000 sh	$4.56	+$22.8K	35,968
2017-02-10	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+300 sh	$8.87	+$2,660.97	88,800
2017-02-10	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+5,000 sh	$8.88	+$44.4K	88,500
2017-01-12	Fifth Street Asset Management Inc.Restricted Stock UnitsA Award	President and CCO, 10% Owner	AAward	+97.9K sh	—	—	97,863
2017-01-04	Fifth Street Asset Management Inc.C Conversion	President and CCO, 10% Owner	CConversion	+181K sh	—	—	181,443
2017-01-04	Fifth Street Asset Management Inc.D Disposition to Issuer	President and CCO, 10% Owner	DDisposition to Issuer	−533K sh	—	—	2,132,616
2017-01-04	Fifth Street Asset Management Inc.Holdings LP InterestsC Conversion	President and CCO, 10% Owner	CConversion	−352K sh	—	—	1,408,044
2017-01-04	Fifth Street Asset Management Inc.Holdings LP InterestsC Conversion	President and CCO, 10% Owner	CConversion	−181K sh	—	—	725,774
2017-01-04	Fifth Street Asset Management Inc.C Conversion	President and CCO, 10% Owner	CConversion	+352K sh	—	—	351,710
2016-09-27	Fifth Street Asset Management Inc.Holdings LP InterestsA Award	President and CCO, 10% Owner	AAward	+1,202 sh	$12.02	+$14.4K	1,759,754
2016-02-25	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+12.5K sh	$7.36	+$92K	83,500
2016-02-24	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+14K sh	$7.31	+$102K	71,000
2016-02-09	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+10K sh	$7.37	+$73.7K	57,000
2016-02-08	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+10K sh	$7.47	+$74.7K	47,000
2016-02-05	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+10K sh	$7.68	+$76.8K	37,000
2016-02-04	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+10K sh	$7.67	+$76.7K	27,000
2015-08-12	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+300 sh	$9.01	+$2,702.94	15,300
2015-08-12	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+1,700 sh	$9.01	+$15.3K	17,000
2015-05-20	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+2,000 sh	$10.00	+$20K	15,000
2015-02-10	Oaktree Strategic Income CorpP Purchase	Director, Chief Executive Officer	PPurchase	+1,000 sh	$10.75	+$10.7K	13,000
2015-02-10	OCSLOaktree Specialty Lending CorpP Purchase	Director, Chief Executive Officer	PPurchase	+2,000 sh	$6.99	+$14K	25,968

Recent filings

Accepted (ET)
May 24
Berman Bernard D0001829126-22-009531
SEC(opens sec.gov)
Nov 24/A
Berman Bernard D0001144204-17-055834
SEC(opens sec.gov)
Nov 24/A
Berman Bernard D0001144204-17-055830
SEC(opens sec.gov)
Oct 304
Berman Bernard D0001144204-17-054851
SEC(opens sec.gov)
Oct 194
Berman Bernard D0001144204-17-053292
SEC(opens sec.gov)
Oct 184
Berman Bernard D0001144204-17-053091
SEC(opens sec.gov)
Oct 34
Berman Bernard D0001144204-17-051059
SEC(opens sec.gov)
Oct 34
Berman Bernard D0001144204-17-051057
SEC(opens sec.gov)
Mar 174
Fifth Street Finance Corp.0001414932-17-000017
SEC(opens sec.gov)
Mar 134
Fifth Street Senior Floating Rate Corp.0001577791-17-000012
SEC(opens sec.gov)
Mar 64
Fifth Street Finance Corp.0001414932-17-000014
SEC(opens sec.gov)

Companies

Address

445 HAMILTON AVENUE 12TH FLOOR

WHITE PLAINS, NY, 10601