{"transactions":[{"id":888341,"issuer":{"id":6750,"kind":"organization","name":"Sunrise Realty Trust, Inc."},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Common Stock","published_at":"2026-02-24T01:49:10.000Z","date":"2026-02-19","kind":"grant","planned":false,"acquired":true,"shares":1071,"price":9.34,"value":10003.14,"ownership":{"direct":true},"footnotes":[{"field":"shares","element":"transactionShares","label":"F1","text":"Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall become fully-vested on the first anniversary of January 2, 2026, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement."}],"balance_after":10906.536,"source":{"system":"sec-edgar","filing":"0001628280-26-010822","document":"wk-form4_1771897747.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/2012706/000162828026010822/wk-form4_1771897747.xml","form_type":"4"}},{"id":905424,"issuer":{"id":6750,"kind":"organization","name":"Sunrise Realty Trust, Inc."},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Common Stock","published_at":"2026-02-13T21:32:50.000Z","date":"2025-07-15","kind":"other","planned":false,"acquired":true,"shares":124.55,"price":10.97,"value":1366.3135,"ownership":{"direct":true},"footnotes":[{"field":"shares","element":"transactionShares","label":"F1","text":"Pertains to de minimus dividend reinvestment transactions."}],"balance_after":9835.536,"source":{"system":"sec-edgar","filing":"0001829126-26-001347","document":"ownership.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":2,"url":"https://www.sec.gov/Archives/edgar/data/2012706/000182912626001347/ownership.xml","form_type":"5"}},{"id":905423,"issuer":{"id":6750,"kind":"organization","name":"Sunrise Realty Trust, Inc."},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Common Stock","published_at":"2026-02-13T21:32:50.000Z","date":"2025-04-15","kind":"other","planned":false,"acquired":true,"shares":152.51,"price":8.66,"value":1320.7366,"ownership":{"direct":true},"footnotes":[{"field":"shares","element":"transactionShares","label":"F1","text":"Pertains to de minimus dividend reinvestment transactions."},{"field":"balance_after","element":"sharesOwnedFollowingTransaction","label":"F2","text":"Includes shares acquired pursuant to Sunrise Realty Trust, Inc.'s dividend reinvestment plan in transactions exempt from Section 16 pursuant to Rule 16a-11."}],"balance_after":9710.986,"source":{"system":"sec-edgar","filing":"0001829126-26-001347","document":"ownership.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/2012706/000182912626001347/ownership.xml","form_type":"5"}},{"id":991156,"issuer":{"id":6926,"kind":"organization","name":"Advanced Flower Capital Inc.","symbol":"AFCG"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Common Stock","published_at":"2025-11-21T20:41:44.000Z","date":"2025-11-20","kind":"grant","planned":false,"acquired":true,"shares":5474,"price":2.74,"value":14998.76,"ownership":{"direct":true},"footnotes":[{"field":"shares","element":"transactionShares","label":"F1","text":"Represents restricted stock granted under the Issuer's Stock Incentive Plan that is fully-vested as of November 20, 2025."}],"balance_after":16196,"source":{"system":"sec-edgar","filing":"0001628280-25-053678","document":"wk-form4_1763775701.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000162828025053678/wk-form4_1763775701.xml","form_type":"4"}},{"id":1215441,"issuer":{"id":6750,"kind":"organization","name":"Sunrise Realty Trust, Inc."},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Common Stock","published_at":"2025-03-10T20:31:12.000Z","date":"2025-03-07","kind":"purchase","planned":false,"acquired":true,"shares":4400,"price":11.3,"value":49720.0,"ownership":{"direct":true},"footnotes":[{"field":"price","element":"transactionPricePerShare","label":"F1","text":"This transaction was executed in multiple trades ranging from $11.29 to $11.30; the price reported reflects the weighted average price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or any security holder of the issuer."}],"balance_after":9137,"source":{"system":"sec-edgar","filing":"0001226177-25-000004","document":"wk-form4_1741638665.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/2012706/000122617725000004/wk-form4_1741638665.xml","form_type":"4"}},{"id":1240390,"issuer":{"id":6926,"kind":"organization","name":"Advanced Flower Capital Inc.","symbol":"AFCG"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Common Stock","published_at":"2025-02-27T16:34:26.000Z","date":"2025-02-25","kind":"grant","planned":false,"acquired":true,"shares":1792,"price":8.37,"value":14999.04,"ownership":{"direct":true},"footnotes":[{"field":"shares","element":"transactionShares","label":"F1","text":"Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall vest on the one-year anniversary of January 2, 2025, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement."}],"balance_after":10722,"source":{"system":"sec-edgar","filing":"0001226177-25-000002","document":"wk-form4_1740692060.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000122617725000002/wk-form4_1740692060.xml","form_type":"4"}},{"id":1323087,"issuer":{"id":6750,"kind":"organization","name":"Sunrise Realty Trust, Inc."},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Common Stock","published_at":"2024-12-23T21:09:15.000Z","date":"2024-12-19","kind":"grant","planned":false,"acquired":true,"shares":761,"price":13.15,"value":10007.15,"ownership":{"direct":true},"footnotes":[{"field":"shares","element":"transactionShares","label":"F1","text":"Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall become fully-vested on the first anniversary of December 19, 2024, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement."}],"balance_after":4737,"source":{"system":"sec-edgar","filing":"0001226177-24-000010","document":"wk-form4_1734988149.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/2012706/000122617724000010/wk-form4_1734988149.xml","form_type":"4"}},{"id":1455451,"issuer":{"id":6750,"kind":"organization","name":"Sunrise Realty Trust, Inc."},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Common Stock","published_at":"2024-07-12T23:43:27.000Z","date":"2024-07-10","kind":"purchase","planned":false,"acquired":true,"shares":1000,"price":10.9,"value":10900.0,"ownership":{"direct":true},"footnotes":[{"field":"balance_after","element":"sharesOwnedFollowingTransaction","label":"F1","text":"Includes 2,976 shares received in connection with the spin-off of the Issuer from AFC Gamma, Inc., of which 427 shares are restricted shares received in the spin-off from restricted common stock granted under AFC Gamma, Inc. Stock Incentive Plan and shall vest on the one-year anniversary of January 2, 2024, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement."}],"balance_after":3976,"source":{"system":"sec-edgar","filing":"0001226177-24-000008","document":"wk-form4_1720827801.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/2012706/000122617724000008/wk-form4_1720827801.xml","form_type":"4"}},{"id":1670744,"issuer":{"id":6926,"kind":"organization","name":"Advanced Flower Capital Inc.","symbol":"AFCG"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Common Stock","published_at":"2024-01-25T17:22:34.000Z","date":"2024-01-24","kind":"grant","planned":false,"acquired":true,"shares":1282,"price":11.7,"value":14999.4,"ownership":{"direct":true},"footnotes":[{"field":"shares","element":"transactionShares","label":"F1","text":"Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall vest on the one-year anniversary of January 2, 2024, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement."}],"balance_after":8930,"source":{"system":"sec-edgar","filing":"0001822523-24-000006","document":"wk-form4_1706221344.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000182252324000006/wk-form4_1706221344.xml","form_type":"4"}},{"id":2062000,"issuer":{"id":6926,"kind":"organization","name":"Advanced Flower Capital Inc.","symbol":"AFCG"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Common Stock","published_at":"2023-01-05T18:01:17.000Z","date":"2023-01-03","kind":"grant","acquired":true,"shares":963,"price":15.57,"value":14993.91,"ownership":{"direct":true},"footnotes":[{"field":"shares","element":"transactionShares","label":"F1","text":"Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall vest on the one-year anniversary of January 3, 2023, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement."}],"balance_after":7648,"source":{"system":"sec-edgar","filing":"0001209191-23-002041","document":"doc4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000120919123002041/doc4.xml","form_type":"4"}},{"id":2435770,"issuer":{"id":6926,"kind":"organization","name":"Advanced Flower Capital Inc.","symbol":"AFCG"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true}}],"security":"Stock Option (right to buy)","published_at":"2022-01-13T18:00:47.000Z","date":"2022-01-11","kind":"grant","acquired":true,"shares":5000,"price":0,"value":0.0,"ownership":{"direct":true},"footnotes":[{"field":"derivative.exercise_date","element":"exerciseDate","label":"F1","text":"The Stock Option will vest and become exercisable upon the one-year anniversary of the grant date, subject to early termination and adjustment as provided in the applicable stock option agreement."}],"balance_after":5000,"derivative":{"exercise_price":20.18,"expiration_date":"2029-01-10","underlying":"Common Stock","underlying_shares":5000},"source":{"system":"sec-edgar","filing":"0001140361-22-001642","document":"form4.xml","document_sequence":1,"table":"derivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000114036122001642/form4.xml","form_type":"4"}},{"id":2771751,"issuer":{"id":6926,"kind":"organization","name":"Advanced Flower Capital Inc.","symbol":"AFCG"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true}}],"security":"Stock Option (right to buy)","published_at":"2021-03-25T21:39:07.000Z","date":"2021-03-23","kind":"grant","acquired":true,"shares":700,"price":0,"value":0.0,"ownership":{"direct":true},"footnotes":[{"field":"derivative.exercise_date","element":"exerciseDate","label":"F1","text":"The shares subject to this option fully vested and became exercisable upon the consummation of the Issuer's initial public offering."}],"balance_after":700,"derivative":{"exercise_price":19,"expiration_date":"2028-03-23","underlying":"Common Stock","underlying_shares":700},"source":{"system":"sec-edgar","filing":"0001140361-21-010096","document":"form4.xml","document_sequence":1,"table":"derivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000114036121010096/form4.xml","form_type":"4"}},{"id":4182896,"issuer":{"id":171240,"kind":"organization","name":"Fifth Street Asset Management Inc.","symbol":"FSAM"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Restricted Stock Units","published_at":"2017-10-19T17:42:12.000Z","date":"2017-10-17","kind":"exercise","acquired":false,"shares":76366,"price":0,"value":0.0,"ownership":{"direct":true},"footnotes":[{"field":"derivative.exercise_price","element":"conversionOrExercisePrice","label":"F1","text":"On October 17, 2017, 76,366 restricted stock units (\"RSUs) granted to Mr. Frank in January 2017 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."},{"field":"kind","element":"transactionCoding","label":"F1","text":"On October 17, 2017, 76,366 restricted stock units (\"RSUs) granted to Mr. Frank in January 2017 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."},{"field":"derivative.exercise_date","element":"exerciseDate","label":"F1","text":"On October 17, 2017, 76,366 restricted stock units (\"RSUs) granted to Mr. Frank in January 2017 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."},{"field":"derivative.expiration_date","element":"expirationDate","label":"F1","text":"On October 17, 2017, 76,366 restricted stock units (\"RSUs) granted to Mr. Frank in January 2017 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."}],"balance_after":0,"derivative":{"underlying":"Class A Common Stock","underlying_shares":76366},"source":{"system":"sec-edgar","filing":"0001144204-17-053288","document":"tv477350_4.xml","document_sequence":1,"table":"derivative","row_type":"transaction","position":3,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000114420417053288/tv477350_4.xml","form_type":"4"}},{"id":4182895,"issuer":{"id":171240,"kind":"organization","name":"Fifth Street Asset Management Inc.","symbol":"FSAM"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Class A Common Stock, $0.01 par value per share","published_at":"2017-10-19T17:42:12.000Z","date":"2017-10-17","kind":"tax_withholding","acquired":false,"shares":35685,"price":3.95,"value":140955.75,"ownership":{"direct":true},"balance_after":141241,"source":{"system":"sec-edgar","filing":"0001144204-17-053288","document":"tv477350_4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":2,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000114420417053288/tv477350_4.xml","form_type":"4"}},{"id":4182894,"issuer":{"id":171240,"kind":"organization","name":"Fifth Street Asset Management Inc.","symbol":"FSAM"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Class A Common Stock, $0.01 par value per share","published_at":"2017-10-19T17:42:12.000Z","date":"2017-10-17","kind":"exercise","acquired":true,"shares":76366,"ownership":{"direct":true},"footnotes":[{"field":"kind","element":"transactionCoding","label":"F1","text":"On October 17, 2017, 76,366 restricted stock units (\"RSUs) granted to Mr. Frank in January 2017 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."},{"field":"price","element":"transactionPricePerShare","label":"F1","text":"On October 17, 2017, 76,366 restricted stock units (\"RSUs) granted to Mr. Frank in January 2017 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."}],"balance_after":176926,"source":{"system":"sec-edgar","filing":"0001144204-17-053288","document":"tv477350_4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000114420417053288/tv477350_4.xml","form_type":"4"}},{"id":4183570,"issuer":{"id":171240,"kind":"organization","name":"Fifth Street Asset Management Inc.","symbol":"FSAM"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Holdings LP Interests","published_at":"2017-10-18T21:00:17.000Z","date":"2017-10-16","kind":"exercise","acquired":false,"shares":72700,"price":0,"value":0.0,"ownership":{"direct":true},"footnotes":[{"field":"derivative.exercise_price","element":"conversionOrExercisePrice","label":"F2","text":"On October 16, 2017, Mr. Frank, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests (\"Holdings LP Interests\") of Fifth Street Holdings L.P. (\"Holdings\") for shares of the Issuer's Class A common stock on a one-for-one basis."},{"field":"kind","element":"transactionCoding","label":"F2","text":"On October 16, 2017, Mr. Frank, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests (\"Holdings LP Interests\") of Fifth Street Holdings L.P. (\"Holdings\") for shares of the Issuer's Class A common stock on a one-for-one basis."},{"field":"derivative.exercise_date","element":"exerciseDate","label":"F3","text":"Pursuant to the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the \"Exchange Agreement\"), and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock on a one-for-one basis, from and after the second anniversary of the closing of the Issuer's initial public offering. After such time, Mr. Frank will be permitted to exchange the vested portion of his Holdings LP Interests, subject to certain conditions of call or forfeiture."},{"field":"derivative.expiration_date","element":"expirationDate","label":"F3","text":"Pursuant to the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the \"Exchange Agreement\"), and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock on a one-for-one basis, from and after the second anniversary of the closing of the Issuer's initial public offering. After such time, Mr. Frank will be permitted to exchange the vested portion of his Holdings LP Interests, subject to certain conditions of call or forfeiture."}],"balance_after":32240,"derivative":{"underlying":"Class A Common Stock","underlying_shares":72700},"source":{"system":"sec-edgar","filing":"0001144204-17-053084","document":"tv477254_4.xml","document_sequence":1,"table":"derivative","row_type":"transaction","position":5,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000114420417053084/tv477254_4.xml","form_type":"4"}},{"id":4183569,"issuer":{"id":171240,"kind":"organization","name":"Fifth Street Asset Management Inc.","symbol":"FSAM"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Restricted Stock Units","published_at":"2017-10-18T21:00:17.000Z","date":"2017-10-03","kind":"exercise","acquired":false,"shares":52317,"price":0,"value":0.0,"ownership":{"direct":true},"footnotes":[{"field":"derivative.exercise_price","element":"conversionOrExercisePrice","label":"F1","text":"Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units (\"RSUs\") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis."},{"field":"kind","element":"transactionCoding","label":"F1","text":"Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units (\"RSUs\") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis."},{"field":"derivative.exercise_date","element":"exerciseDate","label":"F1","text":"Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units (\"RSUs\") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis."},{"field":"derivative.expiration_date","element":"expirationDate","label":"F1","text":"Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units (\"RSUs\") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis."}],"balance_after":0,"derivative":{"underlying":"Class A Common Stock","underlying_shares":52317},"source":{"system":"sec-edgar","filing":"0001144204-17-053084","document":"tv477254_4.xml","document_sequence":1,"table":"derivative","row_type":"transaction","position":4,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000114420417053084/tv477254_4.xml","form_type":"4"}},{"id":4183568,"issuer":{"id":171240,"kind":"organization","name":"Fifth Street Asset Management Inc.","symbol":"FSAM"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Class A Common Stock, $0.01 par value per share","published_at":"2017-10-18T21:00:17.000Z","date":"2017-10-16","kind":"exercise","acquired":true,"shares":72700,"ownership":{"direct":true},"footnotes":[{"field":"kind","element":"transactionCoding","label":"F2","text":"On October 16, 2017, Mr. Frank, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests (\"Holdings LP Interests\") of Fifth Street Holdings L.P. (\"Holdings\") for shares of the Issuer's Class A common stock on a one-for-one basis."},{"field":"price","element":"transactionPricePerShare","label":"F2","text":"On October 16, 2017, Mr. Frank, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests (\"Holdings LP Interests\") of Fifth Street Holdings L.P. (\"Holdings\") for shares of the Issuer's Class A common stock on a one-for-one basis."}],"balance_after":100560,"source":{"system":"sec-edgar","filing":"0001144204-17-053084","document":"tv477254_4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":3,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000114420417053084/tv477254_4.xml","form_type":"4"}},{"id":4183567,"issuer":{"id":171240,"kind":"organization","name":"Fifth Street Asset Management Inc.","symbol":"FSAM"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Class A Common Stock, $0.01 par value per share","published_at":"2017-10-18T21:00:17.000Z","date":"2017-10-03","kind":"tax_withholding","acquired":false,"shares":24457,"price":3.9,"value":95382.3,"ownership":{"direct":true},"footnotes":[{"field":"kind","element":"transactionCoding","label":"F2","text":"On October 16, 2017, Mr. Frank, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests (\"Holdings LP Interests\") of Fifth Street Holdings L.P. (\"Holdings\") for shares of the Issuer's Class A common stock on a one-for-one basis."}],"balance_after":27860,"source":{"system":"sec-edgar","filing":"0001144204-17-053084","document":"tv477254_4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":2,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000114420417053084/tv477254_4.xml","form_type":"4"}},{"id":4183566,"issuer":{"id":171240,"kind":"organization","name":"Fifth Street Asset Management Inc.","symbol":"FSAM"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":true,"officer":false,"ten_percent_owner":false,"other":false}}],"security":"Class A Common Stock, $0.01 par value per share","published_at":"2017-10-18T21:00:17.000Z","date":"2017-10-03","kind":"exercise","acquired":true,"shares":52317,"ownership":{"direct":true},"footnotes":[{"field":"kind","element":"transactionCoding","label":"F1","text":"Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units (\"RSUs\") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis."},{"field":"price","element":"transactionPricePerShare","label":"F1","text":"Pursuant to a separation agreement and general release entered into as of September 22, 2017 by and between Mr. Frank and the Issuer, vesting of 52,317 unvested restricted stock units (\"RSUs\") granted to Mr. Frank in October 2014 was accelerated and such RSUs vested on September 30, 2017 and 27,828 RSUs granted to Mr. Frank in October 2014 were forfeited and ceased to be outstanding as of September 30, 2017. On October 3, 2017, 27,860 vested RSUs were exchanged for shares of the Issuer's Class A common stock on a one-for-one basis."}],"balance_after":52317,"source":{"system":"sec-edgar","filing":"0001144204-17-053084","document":"tv477254_4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000114420417053084/tv477254_4.xml","form_type":"4"}},{"id":4489740,"issuer":{"id":171240,"kind":"organization","name":"Fifth Street Asset Management Inc.","symbol":"FSAM"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"COO & CFO"}}],"security":"Restricted Stock Units","published_at":"2017-01-17T19:22:15.000Z","date":"2017-01-12","kind":"grant","acquired":true,"shares":76336,"price":0,"value":0.0,"ownership":{"direct":true},"footnotes":[{"field":"derivative.exercise_price","element":"conversionOrExercisePrice","label":"F1","text":"Each restricted stock unit represents the contingent right to receive one share of Class A common stock of the Issuer. No later than 60 days following each vesting date, one share of Class A common stock of the Issuer shall be issued for each restricted stock unit that becomes vested on such vesting date."},{"field":"derivative.exercise_date","element":"exerciseDate","label":"F2","text":"One-third of the total number of restricted stock units will vest on each of the first three anniversaries of the date of grant, which was January 12, 2017."},{"field":"derivative.expiration_date","element":"expirationDate","label":"F2","text":"One-third of the total number of restricted stock units will vest on each of the first three anniversaries of the date of grant, which was January 12, 2017."}],"balance_after":76336,"derivative":{"underlying":"Class A Common Stock","underlying_shares":76336},"source":{"system":"sec-edgar","filing":"0001144204-17-002521","document":"v457054_form4.xml","document_sequence":1,"table":"derivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000114420417002521/v457054_form4.xml","form_type":"4"}},{"id":283713,"issuer":{"id":2815,"kind":"organization","name":"MORGAN STANLEY","symbol":"MS"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"Controller"}}],"security":"Employee Stock Option (Right to Buy)","published_at":"2004-12-27T17:17:40.000Z","date":"2004-12-23","kind":"exercise","acquired":false,"shares":3702,"price":0,"value":0.0,"ownership":{"direct":true},"balance_after":0,"derivative":{"exercise_price":9.02,"exercise_date":"1995-02-28","expiration_date":"2005-01-31","underlying":"Common Stock","underlying_shares":3702},"source":{"system":"sec-edgar","filing":"0001204892-04-000146","document":"doc4.xml","document_sequence":1,"table":"derivative","row_type":"transaction","position":5,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000120489204000146/doc4.xml","form_type":"4"}},{"id":283712,"issuer":{"id":2815,"kind":"organization","name":"MORGAN STANLEY","symbol":"MS"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"Controller"}}],"security":"Common Stock","published_at":"2004-12-27T17:17:40.000Z","date":"2004-12-23","kind":"gift","acquired":false,"shares":585,"price":0,"value":0.0,"ownership":{"direct":true},"balance_after":23931,"source":{"system":"sec-edgar","filing":"0001204892-04-000146","document":"doc4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":3,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000120489204000146/doc4.xml","form_type":"4"}},{"id":283711,"issuer":{"id":2815,"kind":"organization","name":"MORGAN STANLEY","symbol":"MS"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"Controller"}}],"security":"Common Stock","published_at":"2004-12-27T17:17:40.000Z","date":"2004-12-23","kind":"sale","acquired":false,"shares":3702,"price":55.26,"value":204572.52,"ownership":{"direct":true},"balance_after":24516,"source":{"system":"sec-edgar","filing":"0001204892-04-000146","document":"doc4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":2,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000120489204000146/doc4.xml","form_type":"4"}},{"id":283710,"issuer":{"id":2815,"kind":"organization","name":"MORGAN STANLEY","symbol":"MS"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"Controller"}}],"security":"Common Stock","published_at":"2004-12-27T17:17:40.000Z","date":"2004-12-23","kind":"exercise","acquired":true,"shares":3702,"price":9.02,"value":33392.04,"ownership":{"direct":true},"balance_after":28218,"source":{"system":"sec-edgar","filing":"0001204892-04-000146","document":"doc4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000120489204000146/doc4.xml","form_type":"4"}},{"id":283899,"issuer":{"id":2815,"kind":"organization","name":"MORGAN STANLEY","symbol":"MS"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"Controller"}}],"security":"Common Stock","published_at":"2004-12-16T18:11:44.000Z","date":"2004-12-14","kind":"grant","acquired":true,"shares":9156,"price":0,"value":0.0,"ownership":{"direct":true},"footnotes":[{"field":"security","element":"securityTitle","label":"F1","text":"Stock Units that are convertible into shares of Common Stock at a ratio of 1 to 1."}],"balance_after":24516,"source":{"system":"sec-edgar","filing":"0001204892-04-000125","document":"doc4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000120489204000125/doc4.xml","form_type":"4"}},{"id":287201,"issuer":{"id":2815,"kind":"organization","name":"MORGAN STANLEY","symbol":"MS"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"Controller"}}],"security":"Common Stock","published_at":"2004-09-09T12:01:58.000Z","date":"2004-09-08","kind":"tax_withholding","acquired":false,"shares":510,"price":52.53,"value":26790.3,"ownership":{"direct":true},"balance_after":15360,"source":{"system":"sec-edgar","filing":"0001204892-04-000097","document":"doc4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000120489204000097/doc4.xml","form_type":"4"}},{"id":297186,"issuer":{"id":2815,"kind":"organization","name":"MORGAN STANLEY","symbol":"MS"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"Controller"}}],"security":"Common Stock","published_at":"2003-12-24T11:17:40.000Z","date":"2003-12-23","kind":"gift","acquired":false,"shares":547,"price":0,"value":0.0,"ownership":{"direct":true},"balance_after":15870,"source":{"system":"sec-edgar","filing":"0001204892-03-000085","document":"doc4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000120489203000085/doc4.xml","form_type":"4"}},{"id":297761,"issuer":{"id":2815,"kind":"organization","name":"MORGAN STANLEY","symbol":"MS"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"Treasurer and Controller"}}],"security":"Employee Stock Option (Right to Buy)","published_at":"2003-12-02T14:27:37.000Z","date":"2003-11-28","kind":"grant","acquired":true,"shares":9265,"price":0,"value":0.0,"ownership":{"direct":true},"footnotes":[{"field":"derivative.exercise_date","element":"exerciseDate","label":"F2","text":"Options are exercisable upon vesting.  Vesting occurs as follows:  50% of the award vests on January 2, 2006 and the remaining 50\n% vests on January 2, 2007."}],"balance_after":9265,"derivative":{"exercise_price":55.45,"expiration_date":"2014-01-02","underlying":"Common Stock","underlying_shares":9265},"source":{"system":"sec-edgar","filing":"0001204892-03-000074","document":"doc4.xml","document_sequence":1,"table":"derivative","row_type":"transaction","position":3,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000120489203000074/doc4.xml","form_type":"4"}},{"id":297760,"issuer":{"id":2815,"kind":"organization","name":"MORGAN STANLEY","symbol":"MS"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"Treasurer and Controller"}}],"security":"Common Stock","published_at":"2003-12-02T14:27:37.000Z","date":"2003-11-28","kind":"grant","acquired":true,"shares":4118,"price":0,"value":0.0,"ownership":{"direct":true},"footnotes":[{"field":"kind","element":"transactionCoding","label":"F1","text":"Stock Units which are convertible into shares of Common Stock at a ratio of 1 to 1."}],"balance_after":16417,"source":{"system":"sec-edgar","filing":"0001204892-03-000074","document":"doc4.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000120489203000074/doc4.xml","form_type":"4"}},{"id":298010,"issuer":{"id":2815,"kind":"organization","name":"MORGAN STANLEY","symbol":"MS"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"Treasurer and Controller"}}],"security":"Employee Stock Option (Right to Buy)","published_at":"2003-11-24T16:21:03.000Z","date":"2003-11-20","kind":"grant","acquired":true,"shares":65074,"price":0,"value":0.0,"ownership":{"direct":true},"footnotes":[{"field":"derivative.exercise_date","element":"exerciseDate","label":"F1","text":"Options are exercisable upon vesting.  Vesting occurs in five equal installments beginning on January 2, 2005.  Shares received upon exercise of options generally may not be sold for five years from grant date and thereafter are subject to certain further restrictions based upon the age of the reporting person."}],"balance_after":65074,"derivative":{"exercise_price":53.02,"expiration_date":"2014-01-02","underlying":"Common Stock","underlying_shares":65074},"source":{"system":"sec-edgar","filing":"0001204892-03-000048","document":"doc4.xml","document_sequence":1,"table":"derivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000120489203000048/doc4.xml","form_type":"4"}},{"id":300435,"issuer":{"id":2815,"kind":"organization","name":"MORGAN STANLEY","symbol":"MS"},"owners":[{"id":13960,"kind":"person","name":"FRANK ALEXANDER C","position":1,"cik":"0001226177","reported_name":"FRANK ALEXANDER C","relationship":{"director":false,"officer":true,"ten_percent_owner":false,"other":false,"officer_title":"Treasurer and Controller"}}],"security":"Common Stock","published_at":"2003-09-09T17:28:58.000Z","date":"2003-09-08","kind":"tax_withholding","acquired":false,"shares":403,"price":48.55,"value":19565.65,"ownership":{"direct":true},"balance_after":12299,"source":{"system":"sec-edgar","filing":"0001181431-03-022469","document":"rrd17989.xml","document_sequence":1,"table":"nonDerivative","row_type":"transaction","position":1,"url":"https://www.sec.gov/Archives/edgar/data/1226177/000118143103022469/rrd17989.xml","form_type":"4"}}]}