Fifth Street Asset Management Inc. 

CT

  SEC # 1611988

        

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5  Owner Relationships  (where the Issuers of the  Fifth Street Asset Management Inc.-owned  securities are...)

First		Latest Filing		Filing		Issuer / Subject
10/4/16		12/8/16		4		CA	Oaktree Strategic Income Corp. [ formerly Fifth Street Senior Floating Rate Corp. ]
		9/9/16		4		CA	Oaktree Specialty Lending Corp.
		8/23/16		3			"
		4/8/16		SC 13D		CA	Oaktree Strategic Income Corp. [ formerly Fifth Street Senior Floating Rate Corp. ]
		2/25/16		3			"

        

First  20  of  81  Issuer Relationships  (where the Owners of the  Fifth Street Asset Management Inc.  securities are...)

First		Latest Filing		Filing		Filer / Owner
		2/14/18		SC 13G		MA	Weiss Asset Management LP
2/10/17		2/13/18		SC 13G		CA	Hotchkis & Wiley Capital Management LLC
3/1/16		2/13/18		SC 13G			Springhouse Capital (Master), L.P.
10/31/14		12/11/17		4		NY	Harrison Thomas L
4/13/16		12/4/17		4		CO	Arthur Michael W
12/16/15		12/1/17		4		CT	Brandt Thomas Howard
10/31/14		11/2/17		4		FL	Berman Bernard D
10/31/14		10/30/17		4		FL	Tannenbaum Leonard M
9/28/17		10/23/17		SC 13D		FL	Berman Bernard D
9/28/17		10/23/17		SC 13D		FL	Tannenbaum Leonard M
10/31/14		10/19/17		4		FL	Frank Alexander C
1/6/17		10/18/17		4		CT	Velgot James F
		5/8/17		3		CT	Bond Jodi Hanson
		5/8/17		4			"
2/11/16		2/10/17		SC 13G			Burgundy Asset Management Ltd.
		1/25/17		5		FL	Berman Bernard D
		1/25/17		5		NY	Dimitrov Ivelin M.
		1/25/17		5		FL	Tannenbaum Leonard M
		1/17/17		4		NY	Dalton Patrick J
		1/12/17		3			"
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First  20  of  43  Insider & Control Relationships  (Directors & Officers, Owners, Parent / Subs., et al.)

First		Latest Filing		Relationship		Registrant
10/29/14		12/11/17		Director		NY	Harrison Thomas L
4/13/16		12/4/17		Director		CO	Arthur Michael W
12/16/15		12/1/17		Director		CT	Brandt Thomas Howard
10/30/17		11/2/17		10% Owner		FL	Berman Bernard D
10/18/17		11/2/17		Officer:  President & CCO			"
1/6/17		10/30/17		Officer:  CEO		FL	Tannenbaum Leonard M
10/29/14		10/30/17		10% Owner			"
10/29/14		10/30/17		Director			"
10/18/17		10/19/17		Director		FL	Frank Alexander C
12/17/15		10/18/17		Director		CT	Velgot James F
		5/8/17		Director		CT	Bond Jodi Hanson
11/4/14		1/25/17		Officer:  Co-President & CCO		FL	Berman Bernard D
		1/25/17		Other:  Former CIO		NY	Dimitrov Ivelin M.
1/12/17		1/17/17		Officer:  Co-President		NY	Dalton Patrick J
10/29/14		1/17/17		Officer:  COO & CFO		FL	Frank Alexander C
2/25/16		12/8/16		10% Owner	of	CA	Oaktree Strategic Income Corp. [ formerly Fifth Street Senior Floating Rate Corp. ]
8/23/16		9/9/16		10% Owner	of	CA	Oaktree Specialty Lending Corp.
6/20/16		8/31/16		Director		NY	August Nathaniel H.
1/20/16		8/29/16		10% Owner			"
1/20/16		8/29/16		10% Owner			Mangrove Capital
→Please Sign In to List all of them.

        

2  Joint-Filer Relationships  (Co-Filer Registrants:  Partners, Affiliates, et al.)

Latest Filing		Registrant			Filings
12/8/16		CT	Fifth Street Holdings L.P.		6
12/8/16		FL	Tannenbaum Leonard M		5

        

No  Group-Member Relationships  (Co-Filer Non-Registrants:  Partners, Affiliates, et al.)

        

Filing Agent Relationships  (SEC Filing Agents, Attorneys, Printers, et al. — Affiliates:  Directors & Officers, et al.)

Fifth Street Asset Management Inc.  has been the Filing Agent for  9  Affiliates:

Latest Filing						Affiliate			Filings
		Type		As Party
5/8/17		3		Insider:³		CT	Bond Jodi Hanson		1
1/17/17		4		Insider:³		CT	Velgot James F		2
1/6/17		4		Insider:³		FL	Berman Bernard D		1
1/6/17		4		Insider:³		FL	Tannenbaum Leonard M		1
6/20/16		4		Insider:³		CO	Arthur Michael W		1
6/20/16		4		Insider:³		NY	August Nathaniel H.		1
6/20/16		4		Insider:³		CT	Brandt Thomas Howard		1
6/20/16		4		Insider:³		NY	Harrison Thomas L		1
9/8/15		4		Insider:³		CT	Gordon Mark Jeffrey		1
Total:									10
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³   Insider:  Filing by the Affiliate filed as a Director, Officer, 10% Owner and/or Other “insider” of the Registrant, who was an Issuer.

4  Filing Agents and/or Registrants have submitted Filings for  Fifth Street Asset Management Inc.:

Latest Filing				Filing Agentª, Registrant or SEC — SEC #			Filings
		Type
1/2/18		15-15D		NY	Toppan Merrill/FA — 1144204		104
12/11/17		EFFECT			No Filing Agent:  SEC-filed by SEC #5 — 9999999995		3
11/14/17		10-Q			No Filing Agent:  Self-filed — 1611988		14
12/8/16		4/A		IL	DONNELLEY FINANCIAL SOLUTIONS File16/FA — 1209191		4
Total:							125
__________  ª  Proprietary to SEC Info℠:  The SEC does not publish the names of SEC Filing Agents.