Filing Details

Accession Number:
0001144204-15-020793
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-04-02 09:50:47
Reporting Period:
2015-03-31
Filing Date:
2015-04-02
Accepted Time:
2015-04-02 09:50:47
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1578620 Alcentra Capital Corp ABDC () 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1390777 Bank Of New York Mellon Corp One Wall Street
New York NY 10286
No No Yes No
1629949 Bny Alcentra Group Holdings, Inc. 10 Gresham Street
London X0 EC2V 7JD
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2015-03-31 9,405 $13.74 1,504,974 No 4 P Indirect See footnote
Common Stock Acquisiton 2015-04-01 4,001 $13.36 1,508,975 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnote
No 4 P Indirect See footnote
Footnotes
  1. 1,985 of these shares were acquired by Alcentra NY LLC and 7,420 of these shares were acquired by Alcentra Ltd. pursuant to a Rule 10b5-1 trading plan adopted by them on March 23, 2015. Entities controlled by The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are the direct and indirect parent companies of Alcentra NY LLC and Alcentra Ltd. As a result, The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are each deemed to have an indirect pecuniary interest in the reported shares.
  2. 845 of these shares were acquired by Alcentra NY LLC and 3,156 of these shares were acquired by Alcentra Ltd. pursuant to a Rule 10b5-1 trading plan adopted by them on March 23, 2015. Entities controlled by The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are the direct and indirect parent companies of Alcentra NY LLC and Alcentra Ltd. As a result, The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are each deemed to have an indirect pecuniary interest in the reported shares.