IPO registrations (S-1, F-1) · Registrants

Fifth Street Asset Management Inc.

SEC CIK

1611988 · filings on EDGAR ↗

Registration

Form S-1, first filed 2014-09-08, last 2014-10-28; 1 initial registration, 4 amendments

Outcome

Final prospectus filed 2014-10-30; declared effective 2014-10-29

Industry (SIC)

Investment Advice 6282

Incorporated in

DE

Business address

777 WEST PUTNAM AVENUE, 3RD FLOOR, Greenwich, CT 06830

EIN

46-5610118

EDGAR entity type

operating

Insiders and CEO pay

Fifth Street Asset Management Inc. on the corporate pages

Offering terms

Final price

$17.00 per share (424B4 filed 2014-10-30, an initial public offering)

Shares sold

6,000,000

Gross proceeds

$102,000,000 before underwriting discounts and any over-allotment option

Listing

Nasdaq under the symbol FSAM

Lead underwriters

Morgan Stanley (1,410,000 shares); J.P. Morgan (1,110,000 shares); Goldman Sachs (600,000 shares); RBC Capital Markets (660,000 shares); Credit Suisse (600,000 shares)

Syndicate

SMBC Nikko (495,000); Deutsche Bank (240,000); Barclays (150,000); UBS (150,000); Janney Montgomery Scott (75,000); JMP Securities (75,000); Ladenburg Thalmann (75,000); KeyBanc Capital Markets (60,000); ING (60,000); Maxim Group (60,000); MLV & Co (60,000); Sterne Agee; National Securities Corporation (30,000); Natixis (30,000); Sterne, Agee & Leach, Inc (60,000)

Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.

On this site

• Business registration: FIFTH STREET ASSET MANAGEMENT INC. Fuzzy (name and state)
• SEC filer: Fifth Street Asset Management Inc. EXACT (CIK (EXACT))
• Person page: Leonard M Tannenbaum Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,Officer,TenPercentOwner))

Filings 7

Prospectus pages read 2

Officers, directors and large holders Forms 3, 4 and 5

Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.

Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.

Also on this site Fuzzy

Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.

Others with the same interests

SIC industry Investment Advice, CT first:

• CONNING INC. CT
• TAILWIND FINANCIAL INC. A6
• HENNESSY ADVISORS INC CA
• Ares Management Corp CA
• HOULIHAN LOKEY, INC. CA
• Brookfield Oaktree Holdings, LLC CA
• Financial Engines, LLC CA
• BRC Group Holdings, Inc. CA
• AssetMark Financial Holdings, Inc. CA
• Triller Group Inc. CA

More with this interest.

In other datasets, the same topic (Finance) in CT:

• Form D issuer: 200 Park Avenue Partners, LLC (Form D private offerings)
• Lobbying client: 1ST ALLIANCE LENDING (Federal lobbying (LDA))

Interests: Investment Advice · Finance