Investor Relations Investor FAQs
Fifth Street Finance Corp.
|1.||What is the ticker symbol for Fifth Street Finance Corp. and what exchange does the stock trade on?|
| ||Our common stock is listed on the NASDAQ under the ticker symbol FSC. For more detailed stock information, please visit our Stock Information page.|
|2.||What is the CUSIP number for FSC common stock?|
| ||Fifth Street's CUSIP number is 31678A 103.|
|3.||Where can I find information about Fifth Street’s NAV?|
| ||The quarterly net asset value per share may be obtained in our public filings (i.e., Forms 10-Q and 10-K) with the SEC or by clicking on SEC Filings on our website.
|4.||When is Fifth Street Finance Corp.’s fiscal year end? |
| ||Our fiscal year end is September 30.|
|5.||Who is the transfer agent for the stock?|
| ||American Stock Transfer & Trust Company is our transfer agent, distribution paying agent and registrar. The principal business address of our transfer agent is 6201 15th Avenue, Brooklyn, NY 11219, and the telephone number is: (718) 921-8200.|
|6.||When will your annual reports and proxy become available? How can I get a copy?|
| ||Our public filings with the SEC can be found at www.sec.gov, or by clicking on SEC Filings on our website.|
|7.||Does Fifth Street have a Dividend Reinvestment Plan (DRIP)? How can I enroll? Can I participate if my shares are held with a broker? How do I opt out?|
| ||We have adopted a dividend reinvestment plan that provides for reinvestment of our dividends on behalf of our stockholders, unless a stockholder elects to receive cash as provided below. |
No action will be required on the part of a registered stockholder to enroll and have his or her cash distributions reinvested in shares of our common stock. A registered stockholder may elect to receive an entire distribution in cash by notifying American Stock Transfer & Trust Company, the plan administrator and our transfer agent, distribution paying agent and registrar, in writing so that such notice is received by the plan administrator no later than 10 days prior to the record date for the next dividend or distribution to stockholders.
Those stockholders whose shares are held by a broker or other financial intermediary may receive distributions in cash by notifying their broker or other financial intermediary of their election.
Participants may opt out and terminate their accounts under the plan by notifying the plan administrator via its website at www.amstock.com, by filling out the transaction request form located at the bottom of their statement and sending it to the plan administrator at P.O. Box 922, Wall Street Station, New York, New York, 10269-0560, or by calling the plan administrators at 1-866-665-2280.
For more information, please read our 8-K relating to the DRIP, including our\Amended and Restated Dividend Reinvestment Plan.
|8.||How do I know if I am a registered stockholder? |
| ||A registered stockholder is one that is shown on the records of the Company. If you purchased shares through a broker, the shares might not be registered in your name but instead may be registered in the name of the broker (held in "street name"). Individual stockholders whose shares are held in street name should contact their broker for more information on any dividend reinvestment plan changes.|
|9.||Can I purchase shares directly from Fifth Street Finance Corp.?|
| ||Fifth Street Finance Corp. does not offer direct stock purchase. All initial and subsequent stock purchases must be made through a broker. |
|10.||Does Fifth Street Finance Corp. pay dividends? |
| ||Yes. Fifth Street Finance Corp. intends to distribute monthly dividends to stockholders of record. Information about our historical dividends can be found by visiting the Dividends page on our website. |
|11.||Why is FSC required to pay out its taxable earnings?|
| ||We have elected to be treated as a RIC under Subchapter M of the Code. As long as we qualify as a RIC, we will not be taxed on our investment company taxable income or realized net capital gains, to the extent that such taxable income or gains are distributed, or deemed to be distributed, to stockholders on a timely basis. |
To maintain RIC tax treatment, we must, among other things, distribute, with respect to each taxable year, at least 90% of our investment company taxable income (i.e., our net ordinary income and our realized net short-term capital gains in excess of realized net long-term capital losses, if any).
|12.||How will my income from FSC be reported to me for tax purposes?|
| ||You will receive a 1099-DIV reporting your income received from Fifth Street Finance Corp. You will not receive a Form K-1.|
|13.||Is Fifth Street Finance Corp.’s dividend a "qualified dividend"?|
| ||No, Fifth Street Finance Corp.’s dividend is generally not a “qualified dividend” for tax purposes and therefore generally is not eligible for the lower qualified dividend tax rate. As a regulated investment company, Fifth Street Finance Corp. generally does not pay income taxes on its earnings at the corporate level, but passes its income through to shareholders in the nature that it was earned. Therefore, a portion of our dividend is usually taxable to our shareholders at their ordinary income tax rates and a portion may qualify for the long-term capital gains tax rates. For information about taxes in respect of dividends received by you, you should consult your own tax advisor.|
|14.||Which research analysts follow Fifth Street Finance Corp.? |
| ||Please visit our Analyst Coverage page of our website for a list of analysts currently covering Fifth Street Finance Corp. |
|15.||How can I receive email alerts from Fifth Street Finance Corp.? |
| ||For more information on how to sign up for e-mail alerts regarding events, documents and press releases, please visit the Email Alerts page on our website. |
|16.||How can I obtain additional information from Fifth Street Finance Corp.?|
| ||You can request additional information by contacting Investor Relations at (203) 681-3720 or IR@fifthstreetfinance.com|
|17.||How can someone report a questionable accounting, internal accounting controls or auditing matter about Fifth Street Finance Corp.?|
All issues relating to Fifth Street Finance Corp.’s accounting, internal accounting controls or auditing matters should be referred to members of the Audit Committee.
Messages relating to these concerns can be left via the following methods:
Online URL: fifthstreetfinance.silentwhistle.com
To access an Internet-based message interface that will deliver a message to the Audit Committee.
Dial (877) 411-7522 to leave a message with the Audit Committee.