In the Matter of Fifth Street Management, LLC, Respondent, Securities and Exchange Commission Administrative Proceeding File No. 3-18909
If you are a broker or other nominee who held common stock of Fifth Street Finance Corp. (“FSC”) during the period April 1, 2013 through December 31, 2014, inclusive, and/or held common stock of Fifth Street Senior Floating Rate Corp. (“FSFR”) during the period September 1, 2013 through December 31, 2014, inclusive (the “Investment Period”), for the beneficial interest of a person or entity other than yourself, then WITHIN FOURTEEN (14) DAYS OF YOUR RECEIPT OF THE CLAIMS PACKET you must either:
If you are providing a list of names and addresses to the Fund Administrator:
If you are mailing the Claims Packet to beneficial owners:
If you elect to mail the Claims Packet to beneficial owners yourself, additional copies of the Claims Packet may be requested via email to info@FifthStreetFairFund.com. If you are providing the Claims Packet to beneficial owners, the mailing must be completed within fourteen (14) days of your receipt of the Claims Packet from the Fund Administrator. You must also send a statement to the Fund Administrator at the address above confirming that the mailing was made, and you must retain your mailing records for use in connection with any further notices that may be provided in the administrative proceeding. Failure to timely forward the Claims Packet to beneficial owners may affect their legal rights.
You are entitled to reimbursement for your reasonable expenses actually incurred in complying with the foregoing, including reimbursement of reasonable postage expenses and reasonable costs of obtaining the names and addresses of beneficial owners, provided you timely submit an invoice to the Fund Administrator. Please submit a copy of your invoice to the Fund Administrator within one month of completing the mailing or providing the list of names and addresses.
If you are filing electronic claims:
A nominee may also submit a Claim Form on behalf of multiple clients who are beneficial owners by following the instructions below.
Click here to download the Claim Form.
Click here to download a properly formatted spreadsheet for submitting your transactions.
You may upload your master Claim Form and completed spreadsheet online here.